David K. Battle
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 Kemp Battle was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2018. David had worked at 3 firms and has passed the Series 66, SIE, Series 7, Series 24, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 2023 - May 14, 2024
DAVID KEMP BATTLE CORP.
December 15, 2021 - July 31, 2023
FIGURE SECURITIES, INC.
October 4, 2018 - December 13, 2021
MORGAN STANLEY
July 2, 2018 - December 13, 2021
MORGAN STANLEY
State Registrations and Notice Filings
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Exams
Current Firm
DAVID KEMP BATTLE CORP.
CRD#: 327831 / SEC#: 801-128712
Contact information
Red Flags
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