Aaron J Bateman
Professional Summary
Aaron J Bateman, who also goes by Aaron Joseph Bateman, is a registered financial advisor currently at FIDELITY & GUARANTY SECURITIES, LLC located in Des Moines, Iowa. Aaron is registered as a RR (Registered Representative) and started their career in finance in 2002. Aaron has worked at 12 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Aaron J Bateman, Aaron Joseph Bateman
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Videos & Posts
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PRINCIPAL SECURITIES, INC.
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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PRINCIPAL SECURITIES, INC.
Disclosures on record.
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Years of Experience
24 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
FIDELITY & GUARANTY SECURITIES CORP. | FIDELITY & GUARANTY SECURITIES, LLC
Contact Information
Main Address
801 Grand Ave. Suite 2600, Des Moines, IA 50309Mailing Address
801 Grand Ave. Suite 2600, Des Moines, IA 50309Phone Number
+1 (888) 697-5433Established
Delaware since 08/16/2022Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (50 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY & GUARANTY LIFE INSURANCE COMPANY | DIRECT OWNER | — |
| BARRETT, RONALD JOHN JR | DIRECTOR | 2480222 |
| CANTONWINE, TESSA ELIZABETH | SECRETARY | 5626630 |
| LEINTZ, DONALD ANTHONY | CHIEF EXECUTIVE OFFICER & DIRECTOR | 4374813 |
| LYNCH, JEFFERSON JAMES | DIRECTOR | 3024820 |
| RIP, OLGA | FINOP PRINCIPAL, PRINCIPAL OPERATIONS OFFICER, AND PRINCIPAL FINANCIAL OFFICER | 5440553 |
| STOKES, KELLY MARIE | CHIEF COMPLIANCE OFFICER | 2589504 |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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PRINCIPAL SECURITIES, INC.
State Registrations and Notice Filings
(6/5/2024)
(6/5/2024)
(1/8/2024)
(12/22/2023)
(6/5/2024)
(6/5/2024)
(6/5/2024)
(6/5/2024)
(6/5/2024)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 2002About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Aaron J Bateman's CRS (Customer Relationship Summary).
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PRINCIPAL SECURITIES, INC.