Sean T Battle
Professional Summary
Sean T Battle, who also goes by Sean T. Battle, is a registered financial advisor currently at CIMAS, LLC located in Albany, New York. Sean is registered as a RR (Registered Representative) and started their career in finance in 2005. Sean has worked at 3 firms and has passed the Series 66, Series 52TO, SIE, Series 3, Series 7 and Series 11 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Sean T. Battle
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Videos & Posts
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AMERIPRISE FINANCIAL SERVICES, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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AMERIPRISE FINANCIAL SERVICES, LLC
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Disclosures on record.
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Years of Experience
21 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
CIMAS LLC | CURRAN ADVISORY SERVICES | CIMAS, LLC
Contact Information
Main Address
30 South Pearl Street 9th Floor, Albany, NY, 12207Mailing Address
30 South Pearl Street 9th Floor, Albany, NY, 12207Phone Number
(518) 391-4200Established
New York since 12/17/2003Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (4 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 11 — Assistant Representative-Order Processing Qualification Exam
Passed Aug 2005SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Sean T Battle's CRS (Customer Relationship Summary).
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AMERIPRISE FINANCIAL SERVICES, LLC