JB
Jason Battle
CF SECURED
Chicago, IL 60606
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CRD#: 5372603
JB
Professional summary
Jason Battle, who also goes by Jason R Battle, Jason Battle, is a registered financial professional currently at CF SECURED, LLC located in Chicago, Illinois and CANTOR FITZGERALD & CO. located in Chicago, Illinois.
Jason is registered as a RR (Registered Representative) and started their career in finance in 2009. Jason has worked at 3 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jason R Battle | Jason Battle
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Jason Battle's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 1, 2018 - Present
CF SECURED, LLC
Office #1: 222 West Adams, Chicago, IL 60606BD
CRD#: 285841
Chicago, IL
Current
October 1, 2018 - Present
CANTOR FITZGERALD & CO.
Office #1: 222 West Adams Suite 1900 (itd), Chicago, IL 60606BD
CRD#: 134
Chicago, IL
Past
August 17, 2009 - July 27, 2018
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/1/2019)
RR
Alaska(5/1/2019)
RR
Arizona(5/1/2019)
RR
Arkansas(5/1/2019)
RR
California(10/2/2018)
RR
Colorado(10/2/2018)
RR
Connecticut(10/2/2018)
RR
Delaware(10/2/2018)
RR
District of Columbia(10/2/2018)
RR
Florida(5/1/2019)
RR
Georgia(10/2/2018)
RR
Hawaii(5/1/2019)
RR
Idaho(5/1/2019)
RR
Illinois(10/1/2018)
RR
Indiana(10/4/2022)
RR
Iowa(10/2/2018)
RR
Kansas(10/2/2018)
RR
Kentucky(5/1/2019)
RR
Louisiana(5/1/2019)
RR
Maine(5/1/2019)
RR
Maryland(10/2/2018)
RR
Massachusetts(10/2/2018)
RR
Michigan(5/1/2019)
RR
Minnesota(10/2/2018)
RR
Mississippi(5/1/2019)
RR
Missouri(5/1/2019)
RR
Montana(5/1/2019)
RR
Nebraska(5/1/2019)
RR
Nevada(10/4/2022)
RR
New Hampshire(10/2/2018)
RR
New Jersey(10/2/2018)
RR
New Mexico(10/2/2018)
RR
New York(10/1/2018)
RR
North Carolina(10/2/2018)
RR
North Dakota(5/1/2019)
RR
Ohio(10/2/2018)
RR
Oklahoma(5/1/2019)
RR
Oregon(5/1/2019)
RR
Pennsylvania(10/2/2018)
RR
Puerto Rico(5/1/2019)
RR
Rhode Island(5/1/2019)
RR
South Carolina(5/1/2019)
RR
South Dakota(5/1/2019)
RR
Tennessee(5/1/2019)
RR
Texas(10/2/2018)
RR
Utah(5/1/2019)
RR
Vermont(5/1/2019)
RR
Virginia(10/2/2018)
RR
Washington(10/2/2018)
RR
West Virginia(5/1/2019)
RR
Wisconsin(10/2/2018)
RR
Wyoming(5/1/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
CANTOR FITZGERALD & CO.
CANTOR DIRECT A DIVISION OF CANTOR FITZGERALD & CO. | CANTOR, FITZGERALD & CO., INC. | CANTOR FITZGERALD & CO.
CRD#: 134 / SEC#: , 8-201
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
110 East 59th Street 4th Floor, New York, NY, 10022
Mailing Address
110 East 59th Street 4th Floor, New York, NY, 10022
Phone number
(212) 938-5000
Established
New York since 09/25/1992
Firm type
Partnership
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CFS CF & CO I HOLDINGS, L.P. | MANAGING GENERAL PARTNER | |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| BANDELIER, PASCAL DANIEL | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF EQUITIES | 4424051 |
| CFLP CF&CO I HOLDINGS, L.P. | LIMITED PARTNER | |
| KELLY, SAGE NOLAN | CO-CHIEF EXECUTIVE OFFICER /GLOBAL HEAD OF INVESTMENT BANKING | 2528122 |
| MERKEL, STEPHEN MARCUS | EXECUTIVE MANAGING DIRECTOR, CHIEF LEGAL OFFICER, GENERAL COUNSEL & SECRETARY | 2366318 |
| SALINAS, DANNY | CHIEF FINANCIAL OFFICER | 6184109 |
| SHIELDS, WILLIAM MICHAEL | CHIEF COMPLIANCE OFFICER | 2380166 |
| WALL, CHRISTIAN DOUGLAS | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF FIXED INCOME | 2751397 |
Disclosures
| Regulatory Event | 97 |
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.
