David J. Batts

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CRD#: 4971736

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.

David John Batts was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 2005. David had worked at 11 firms and has passed the Series 66, Series 6TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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. MEA FINANCIAL SERVICES; 1216 KENDALE BLVD, E. LANSING, MI 48823; BEGAN 1/1/2017; MEA FINANCIAL SERVICES REPRESENTATIVE; 10 HRS/MO; COMMISSION; INSURANCE REPRESENTATIVE WITH THE POSSIBILITY TO SELL LIFE, LTC AND IF LICENSED PROPERTY & CASUALTY INSURANCE; NON-INVESTMENT RELATED 2. FAIRWAY INVESTMENT GROUP LLC; 1216 KENDALE BLVD, E. LANSING, MI 48823; 3/29/2018; IAR; 80 HRS/MONTH; COMPENSATED % OF ASSETS UNDER MANAGEMENT; DUTIES INCLUDE PROVIDING INVESTMENT ADVISORY SERVICES TO CLIENTS; DUTIES ARE INVESTMENT RELATED. 3. PLYMOUTH ROTARY FOUNDATION, INC. 525 FARMER, PLYMOUTH MI 48170; BEGAN 2005. MEMBER. NON-INVESTMENT RELATED. 6 - 8 HRS/MONTH. NO COMPENSATION. PROVIDING SCHOLARSHIP OPPORTUNITIES TO STUDENTS WHO DEMONSTRATE THE ROTARY MOTTO OF "SERVICE ABOVE SELF."

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®

CRD#: 13318

FARMINGTON HILLS, MI

Past

July 31, 2008 - July 27, 2009

CIG SECURITIES

CRD#: 129864

SOUTHFIELD, MI

Past

March 8, 2007 - July 22, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

BLOOMFIELD HILLS, MI

Past

March 7, 2007 - July 22, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

BLOOMFIELD HILLS, MI

Past

September 8, 2005 - March 7, 2007

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

PLYMOUTH, MI

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/23/2005

Uniform Combined State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/6/2005

General Securities Representative Examination

Current Firm

FAIRWAY INVESTMENT GROUP, LLC

FAIRWAY INVESTMENT GROUP, LLC | FAIRWAY WEALTH MANAGEMENT

CRD#: 149034 / SEC#:

Michigan

Registered Investment Advisory firm - (7/1/2009 Approved)

Ohio

Registered Investment Advisory firm - (9/4/2014 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).

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Contact information

Main Address

1216 Kendale Blvd., East Lansing, MI 48823

Mailing Address

Phone number

(800) 292-1950

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	672
AUM (Assets Under Management)	$ 69,000,000

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

David J. Batts

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PARADIGM EQUITIES, INC.

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

HOUSEHOLDER GROUP FINANCIAL ADVISORS, LLC

SECURITIES SERVICE NETWORK, LLC

CIG SECURITIES

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RAYMOND JAMES & ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/23/2005

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/6/2005

Current Firm

FAIRWAY INVESTMENT GROUP, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FAIRWAY INVESTMENT GROUP, LLC

TRUST BUT VERIFY

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