David J. Batts
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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 29, 2018 - March 4, 2024
FAIRWAY INVESTMENT GROUP, LLC
March 29, 2018 - March 4, 2024
PARADIGM EQUITIES, INC.
November 3, 2014 - March 23, 2018
OPPENHEIMER & CO. INC.
November 3, 2014 - March 23, 2018
OPPENHEIMER & CO. INC.
November 13, 2013 - October 15, 2014
PNC WEALTH MANAGEMENT LLC
November 12, 2013 - October 15, 2014
PNC WEALTH MANAGEMENT LLC
October 25, 2011 - October 31, 2013
STRATEGIC ADVISERS LLC
September 6, 2011 - October 30, 2013
FIDELITY BROKERAGE SERVICES LLC
May 26, 2010 - August 30, 2011
HOUSEHOLDER GROUP FINANCIAL ADVISORS, LLC
April 7, 2010 - August 25, 2011
SECURITIES SERVICE NETWORK, LLC
July 31, 2008 - July 27, 2009
CIG SECURITIES
March 8, 2007 - July 22, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 7, 2007 - July 22, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 8, 2005 - March 7, 2007
RAYMOND JAMES & ASSOCIATES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
FAIRWAY INVESTMENT GROUP, LLC
CRD#: 149034 / SEC#:
Contact information
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.
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