John W. Battles
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.
John William Battles, who also goes by Jack Battles, John Battles, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2019. John had worked at 2 firms and has passed the Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 25, 2021 - November 22, 2021
PACIFIC OAK CAPITAL MARKETS, LLC
August 7, 2019 - November 1, 2019
ARETE WEALTH MANAGEMENT, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 8/7/2019
General Securities Representative ExaminationCurrent Firm
PACIFIC OAK CAPITAL MARKETS, LLC
CRD#: 309350 / SEC#: , 8-70537
Contact information
FINRA licenses (2 States and Territories)
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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