Laura J. Batty
Professional summary
Laura Jane Batty, who also goes by Laura Batty, is a registered financial professional currently at PIMCO INVESTMENTS LLC located in Newport Beach, California.
Laura is registered as a RR (Registered Representative) and started their career in finance in 2018. Laura has worked at 1 firm and has passed the SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Laura Jane Batty's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 3, 2023 - Present
PIMCO INVESTMENTS LLC
Office #1: 650 Newport Center Dr., Newport Beach, CA 92660August 31, 2018 - February 4, 2022
PIMCO INVESTMENTS LLC
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
FINRA
Current Firm
PIMCO INVESTMENTS LLC
CRD#: 154957 / SEC#: , 8-68686
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PACIFIC INVESTMENT MANAGEMENT COMPANY LLC | SOLE MEMBER | 104559 |
| BENTLEY, JAMES DANIEL | MANAGER, BOARD OF MANAGERS | 5138093 |
| BURG, ANTHONY ALAN | TREASURER | 6005184 |
| DUBITZKY, YITZHAK ZVI | CHIEF COMPLIANCE OFFICER & CHIEF LEGAL OFFICER | 6897287 |
| FERRARI, DAVID RICHARD | PRINCIPAL FINANCIAL OFFICER & FINANCIAL AND OPERATIONS PRINCIPAL | 6004690 |
| HALL, GREGORY WESTON | PRINCIPAL EXECUTIVE OFFICER & CHAIRMAN, BOARD OF MANAGERS | 3111343 |
| OGLESBY, SARAH JANE | SECRETARY | 7676855 |
| PITTERS, CALEB JOSEPH ALEXANDER JR | MANAGER, BOARD OF MANAGERS | 3198603 |
| SUTHERLAND, ERIC MICHAEL | PRESIDENT & MANAGER, BOARD OF MANAGERS | 1724744 |
| THOMAS, MARK GARETH | HEAD OF BUSINESS MANAGEMENT | 2923871 |
| TRACY, LAUREN RITA | MANAGER, BOARD OF MANAGERS | 4027974 |
| WHITTAKER, MEGAN HAYES | AML COMPLIANCE OFFICER | 6442805 |
Red Flags
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