Thomas J. Batta

Some features on this profile are disabled

CRD#: 4948551

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.

Thomas Joseph Batta, who also goes by Tom Joseph Batta, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 2005. Thomas had worked at 4 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tom Joseph Batta

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.

1.) Immaculate Conception School. Non-Investment related. Elementary School. Located at: 109 3rd Street SE, Watertown, SD. 57201. Elementary School. Physical Education Substitute Teacher. Starting 12/9/2022. Time spent per month is variable as needed, approximately 8-16 hours per month. Duties: Teaching Physical Education courses. 2.)Watertown School District 14-4. Non-Investment related. Located at: 200 9th Street NE, Watertown, SD 57201. Public School. Physical Education Substitute. Starting 09/16/2022. Time spent per month is variable depending on need, approximately 60-70 hours per month. Duties: Teach Physical Education courses.

Blog Corner

CRS (Client Relationship Summary)

HI-LINE CAPITAL MANAGEMENT, LLC

ANDERSON, MICHAEL | HI-LINE CAPITAL MANAGEMENT, LLC | ANDERSON, MICHAEL EUGENE

CRD#: 149522 / SEC#: 801-87167

RIA

Registered Investment Advisory firm - (4/6/2015 Approved)

South Dakota

Registered Investment Advisory firm - (8/18/2015 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 65

Date: 12/15/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/25/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 9/15/2005

Investment Company Products/Variable Contracts Representative Examination

Current Firm

HI-LINE CAPITAL MANAGEMENT, LLC

ANDERSON, MICHAEL | HI-LINE CAPITAL MANAGEMENT, LLC | ANDERSON, MICHAEL EUGENE

CRD#: 149522 / SEC#: 801-87167

RIA

Registered Investment Advisory firm - (4/6/2015 Approved)

South Dakota

Registered Investment Advisory firm - (8/18/2015 Terminated)

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

25 1st Ave. Nw, Watertown, SD 57201

Mailing Address

Phone number

(605) 878-0897

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HI-LINE DISCLOSURE BROCHURE AND SUPPLEMENT (3/24/2025)

Regulatory assets under management

Total Number of Accounts	217
AUM (Assets Under Management)	$ 657,780,902

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Thomas J. Batta

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HI-LINE CAPITAL MANAGEMENT, LLC

SPC

TERRY PESCHL & ASSOCIATES, INC.

PARKLAND SECURITIES, LLC

Primary Firm SEC Registration

HI-LINE CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/15/2006

Series 63

Date: 8/25/2006

Series 6

Date: 9/15/2005

Current Firm

HI-LINE CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HI-LINE CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors