Albert T. Batten
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.
Albert Thomas Batten, who also goes by Al Thomas Batten III, was a registered financial professional .
Albert is a previously registered financial professional and started their career in finance in 2000. Albert had worked at 5 firms and has passed the Series 65, Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 12, 2011 - December 18, 2012
TS IMAGINE BROKERAGE SERVICES, LLC
May 10, 2007 - February 5, 2010
MSI FINANCIAL SERVICES, INC.
April 6, 2004 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
April 6, 2004 - February 5, 2010
MSI FINANCIAL SERVICES, INC.
May 23, 2002 - July 12, 2002
GFI SECURITIES LLC
February 9, 2000 - November 26, 2001
TAFFERER TRADING, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 3/21/2000
Limited Representative-Equity Trader ExamCurrent Firm
TS IMAGINE BROKERAGE SERVICES, LLC
CRD#: 146283 / SEC#: , 8-67807
Contact information
FINRA licenses (2 States and Territories)
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
