AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
RB

Robert J. Bateman

Some features on this profile are disabled
CRD#: 3240224
RB

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Robert Johnston Bateman JR., who also goes by Rob Johnston Bateman Jr, Rob Johnston Bateman, Robert Johnston Bateman Jr, Robert Bateman, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1999. Robert had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 55, Series 7, Series 53 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rob Johnston Bateman Jr | Rob Johnston Bateman | Robert Johnston Bateman Jr | Robert Bateman

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 9, 2015 - May 31, 2018

VICTORY CAPITAL SERVICES, INC.

BD
CRD#: 37059
BROOKLYN, OH
Past

October 22, 2007 - March 23, 2013

COMPASS ADVISORY PARTNERS LLC

RIA
CRD#: 119377
BRENTWOOD, TN
Past

May 31, 2007 - November 7, 2007

FSC SECURITIES CORPORATION

RIA
CRD#: 7461
BRENTWOOD, TN
Past

May 31, 2007 - October 25, 2012

FSC SECURITIES CORPORATION

BD
CRD#: 7461
BRENTWOOD, TN
Past

March 27, 2007 - May 22, 2007

STEPHENS

RIA
CRD#: 3496
NASHVILLE, TN
Past

September 8, 2004 - May 22, 2007

STEPHENS

BD
CRD#: 3496
NASHVILLE, TN
Past

March 13, 2000 - September 8, 2004

PFIC SECURITIES CORPORATION

BD
CRD#: 34941
FRANKLIN, TN
Past

July 31, 1999 - March 8, 2000

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 8/19/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/12/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/31/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 10/13/2017
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 7/31/2001
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 7/27/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 8/22/2002
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/4/2000
General Securities Principal Examination

Current Firm

VC
VICTORY CAPITAL SERVICES, INC.
CHS INVESTMENT SERVICES, INC. | VICTORY INCOME INVESTORS | VICTORY FUNDS | VICTORY CAPITAL SERVICES, INC. | VICTORY CAPITAL ADVISERS, INC. | TRIVALENT INVESTMENTS | THE ONE GROUP SERVICES COMPANY | SYCAMORE CAPITAL | RS INVESTMENTS | PIONEER INVESTMENTS | ONE GROUP SERVICES COMPANY (THE) | OGSC DISTRIBUTOR, INC. | NEW ENERGY CAPITAL | MUNDER CAPITAL MANAGEMENT | INTEGRITY ASSET MANAGEMENT

CRD#: 37059 / SEC#: , 8-47577

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
4900 Tiedeman Road 4th Floor, Brooklyn, OH 44144
Mailing Address
4900 Tiedeman Road 4th Floor, Brooklyn, OH 44144
Phone number
(216) 898-2400
Established
Delaware since 06/03/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
VICTORY CAPITAL OPERATING, LLCSOLE SHAREHOLDER
INKS, DONALD ANTHONYCHIEF OPERATIONS OFFICER2311245
MATHES, CHARLES BCHIEF COMPLIANCE OFFICER5980160
POLICARPO, MICHAEL DENNIS IIPRESIDENT4316912
PONTE, CHRISTOPHER ANTONICFO/FINOP5968469

Disclosures

Regulatory Event1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

VICTORY CAPITAL SERVICES, INC.

CRD#: 37059

TRUST BUT VERIFY

Monitor Robert Bateman

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.