Sean T. Battle
Professional summary
Sean T Battle, who also goes by Sean T. Battle, is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sean T Battle's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 11, 2019 - Present
CIMAS, LLC
Office #1: 30 South Pearl Street 9th Floor, Albany, NY, 12207Office #2: 30 S. Pearl Street 9th Floor, Albany, NY, 12207June 13, 2008 - August 28, 2019
GOLDMAN SACHS & CO. LLC
August 24, 2005 - June 17, 2008
MERCER ALLIED COMPANY, L.P.
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 11
Date: 8/23/2005
Assistant Representative-Order Processing Qualification ExamFINRA
Current Firm
CIMAS, LLC
CRD#: 132263 / SEC#: , 8-66579
Contact information
FINRA licenses (4 States and Territories)
Red Flags
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