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
AB

Aaron J. Bateman

FIDELITY & GUARANTY SECURITIES
Des Moines, IA 50309
Some features on this profile are disabled
CRD#: 4453698
AB

Professional summary

Aaron J Bateman, who also goes by Aaron Joseph Bateman, is a registered financial professional 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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Aaron Joseph 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) - BD

Click below to view Aaron J Bateman's CRS (Customer Relationship Summary).

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

Current

May 11, 2023 - Present

FIDELITY & GUARANTY SECURITIES, LLC

Office #1: 801 Grand Ave, Suite 2600, Des Moines, IA 50309
BD
CRD#: 315720
Des Moines, IA
Past

July 30, 2021 - November 29, 2022

INTEGRITY ALLIANCE, LLC.

BD
CRD#: 139627
Des Moines, IA
Past

January 6, 2020 - February 19, 2021

SAYBRUS EQUITY SERVICES, LLC

BD
CRD#: 153319
HARTFORD, CT
Past

September 26, 2017 - January 9, 2018

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
Malden, MA
Past

November 21, 2013 - February 1, 2017

FS INVESTMENT SOLUTIONS, LLC

BD
CRD#: 145244
PHILADELPHIA, PA
Past

January 3, 2013 - November 20, 2013

NATIXIS DISTRIBUTION, LLC

BD
CRD#: 34754
BOSTON, MA
Past

January 24, 2011 - January 4, 2013

GUARDIAN INVESTOR SERVICES LLC

BD
CRD#: 6635
NEW YORK, NY
Past

April 15, 2005 - December 17, 2010

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
SMITHFIELD, RI
Past

January 6, 2004 - March 1, 2005

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

January 6, 2004 - March 1, 2005

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA
Past

July 18, 2003 - December 31, 2003

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY
Past

January 10, 2002 - June 9, 2003

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

BD
CRD#: 611
OMAHA, NE

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(6/5/2024)
RR
Delaware
(6/5/2024)
RR
Maine
(1/8/2024)
RR
Massachusetts
(12/22/2023)
RR
New Hampshire
(6/5/2024)
RR
New Jersey
(6/5/2024)
RR
Pennsylvania
(6/5/2024)
RR
Rhode Island
(6/5/2024)
RR
Vermont
(6/5/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 5/31/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/9/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/6/2010
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/9/2002
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

F&
FIDELITY & GUARANTY SECURITIES, LLC
FIDELITY & GUARANTY SECURITIES CORP. | FIDELITY & GUARANTY SECURITIES, LLC

CRD#: 315720 / SEC#: , 8-70916

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City 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
801 Grand Ave. Suite 2600, Des Moines, IA 50309
Mailing Address
801 Grand Ave. Suite 2600, Des Moines, IA 50309
Phone number
+1 (888) 697-5433
Established
Delaware since 08/16/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (50 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
FIDELITY & GUARANTY LIFE INSURANCE COMPANYDIRECT OWNER
ANDERSON, STEPHEN FRANCISCHIEF COMPLIANCE OFFICER AND AML OFFICER1181095
BARRETT, RONALD JOHN JRDIRECTOR2480222
CANTONWINE, TESSA ELIZABETHSECRETARY5626630
OLSON, THOMAS GCHIEF EXECUTIVE OFFICE AND DIRECTOR2393888
PHELPS, JOHN ADIRECTOR5664815
RIP, OLGAFINOP PRINCIPAL, PRINCIPAL OPERATIONS OFFICER, AND PRINCIPAL FINANCIAL OFFICER5440553

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

FIDELITY & GUARANTY SECURITIES, LLC

CRD#: 315720Des Moines, IA 50309

TRUST BUT VERIFY

Monitor Aaron Bateman

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

Similar Advisors

RS
Rajpreet SanghaAdvisorCheck Check Mark
PRINCIPAL SECURITIES, INC.
IAR
RR
Tracy, CA
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.