Andrew D. Bateman

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CRD#: 4737887

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.

Andrew Dewitt Bateman, who also goes by Andrew Dewitt Bateman, was a registered financial professional .

Andrew is a previously registered financial professional and started their career in finance in 2004. Andrew had worked at 6 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Andrew Dewitt 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.

o Florida Financial Advisors (DBA Four Corners Financial Advisors). Investment Related. Las Vegas, NV 89102. Nature of Business: RIA. Position: Financial Consultant. Start Date: 08/2025. Hours per Month: 160. Hours per Month During Trading Hours: 160. Investment Related Activities. o Florida Financial Advisors (DBA Four Corners Financial Advisors). Investment Related. Las Vegas, NV 89102. Nature of Business: Fixed Insurance Sales. 08/2025. Hours per Month: 10 hours during trading. Duties: fixed insurance sales

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

August 17, 2025 - August 26, 2025

FLORIDA FINANCIAL ADVISORS, LLC

RIA

CRD#: 288811

Las Vegas, NV

Past

August 1, 2023 - May 23, 2025

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

HENDERSON, NV

Past

July 27, 2023 - May 23, 2025

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

HENDERSON, NV

Past

April 30, 2021 - June 29, 2023

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

LAS VEGAS, NV

Past

May 31, 2019 - June 29, 2023

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

LAS VEGAS, NV

Past

June 13, 2005 - December 7, 2006

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

LAS VEGAS, NV

Past

September 3, 2004 - June 13, 2005

ROUND HILL SECURITIES, INC.

CRD#: 35223

ALAMO, CA

Past

March 31, 2004 - August 31, 2004

M.L. STERN & CO., LLC.

CRD#: 8327

BEVERLY HILLS, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FLORIDA FINANCIAL ADVISORS, LLC

CRD#: 288811 / SEC#: 801-127276

RIA

Registered Investment Advisory firm - (2/3/2023 Approved)

Florida

Registered Investment Advisory firm - (2/8/2023 Terminated)

Georgia

Registered Investment Advisory firm - (3/20/2023 Terminated)

New Jersey

Registered Investment Advisory firm - (2/8/2023 Terminated)

North Carolina

Registered Investment Advisory firm - (2/10/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - (2/9/2023 Terminated)

Texas

Registered Investment Advisory firm - (2/8/2023 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/16/2021

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/10/2019

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/13/2021

General Securities Representative Examination

General Industry/Product Exam

Series 6TO

Date: 5/31/2019

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 5/8/2019

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/24/2004

General Securities Representative Examination

Current Firm

FLORIDA FINANCIAL ADVISORS, LLC

CRD#: 288811 / SEC#: 801-127276

RIA

Registered Investment Advisory firm - (2/3/2023 Approved)

Florida

Registered Investment Advisory firm - (2/8/2023 Terminated)

Georgia

Registered Investment Advisory firm - (3/20/2023 Terminated)

New Jersey

Registered Investment Advisory firm - (2/8/2023 Terminated)

North Carolina

Registered Investment Advisory firm - (2/10/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - (2/9/2023 Terminated)

Texas

Registered Investment Advisory firm - (2/8/2023 Terminated)

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Contact information

Main Address

6550 W Hillsborough Avenue Suite 130, Tampa, FL 33634

Mailing Address

Phone number

(813) 333-1683

Established

Firm type

Fiscal year end

# of Employees

465

SEC notice filing (50 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	1,769
AUM (Assets Under Management)	$ 317,826,011

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.

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Advisor Monitoring

Firm Stability Insights

Andrew D. Bateman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

FIRST ALLIED SECURITIES, INC.

ROUND HILL SECURITIES, INC.

M.L. STERN & CO., LLC.

Primary Firm SEC Registration

FLORIDA FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/16/2021

Series 63

Date: 6/10/2019

Series 7TO

Date: 3/13/2021

Series 6TO

Date: 5/31/2019

SIE

Date: 5/8/2019

Series 7

Date: 3/24/2004

Current Firm

FLORIDA FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (50 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

FLORIDA FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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