John R. Battoe
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 Ross Battoe MR., who also goes by John Ross Battoe, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1978. John had worked at 22 firms and has passed the Series 65, Series 63, Series 5, Series 15, Series 7, Series 24, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2011 - December 31, 2021
HERMES ECONOMETRICS
July 28, 2009 - December 31, 2009
HERMES ECONOMETRICS
January 2, 2004 - July 19, 2007
BROOKSTREET SECURITIES CORPORATION
October 21, 2003 - July 19, 2007
BROOKSTREET SECURITIES CORPORATION
April 25, 2002 - April 7, 2003
INDEPENDENT FINANCIAL GROUP, LLC
August 23, 2001 - April 25, 2002
GRANITE CAPITAL MANAGEMENT
August 28, 1999 - August 28, 2001
A. G. EDWARDS & SONS, INC.
October 7, 1998 - September 2, 1999
MACARTHUR STRATEGIES, INC.
September 12, 1997 - August 27, 1998
EQUITY PROGRAMS CORPORATION
October 23, 1996 - January 1, 1997
WALDRON & CO., INC.
May 23, 1996 - October 31, 1996
VSR FINANCIAL SERVICES, INC.
June 27, 1995 - March 29, 1996
WMA SECURITIES, INC.
December 22, 1993 - May 9, 1995
FFP SECURITIES, INC.
September 25, 1992 - October 21, 1992
AEGON USA SECURITIES INC.
June 29, 1992 - August 5, 1996
AVANTAX INVESTMENT SERVICES, INC.
October 4, 1991 - May 6, 1992
L.H. FRIEND, WEINRESS, FRANKSON & PRESSON, LLC
October 1, 1990 - April 24, 1991
LEHMAN BROTHERS INC.
March 15, 1989 - September 27, 1990
SPELMAN & CO., INC.
September 15, 1987 - March 20, 1989
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
December 27, 1982 - October 9, 1987
PRUDENTIAL EQUITY GROUP, LLC
June 21, 1979 - January 4, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 5, 1979 - July 19, 1979
KEY SECURITIES INCORPORATED
February 24, 1978 - January 18, 1979
MORGAN STANLEY DW INC.
January 3, 1978 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
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 5
Date: 4/22/1986
Interest Rate Options ExaminationSeries 15
Date: 10/13/1983
Foreign Currency Options ExaminationSeries 8
Date: 6/8/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
HERMES ECONOMETRICS
CRD#: 113643 / SEC#: 801-60403
Contact information
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.
