Jeffrey S. 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.
Jeffrey Scott Battles was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1979. Jeffrey had worked at 11 firms and has passed the Series 63, Series 65, Series 5, Series 15, Series 7, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2012 - December 31, 2012
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
October 15, 2010 - April 10, 2012
NYLIFE SECURITIES LLC
August 2, 2010 - August 16, 2010
UNIFIED FINANCIAL SECURITIES, LLC
February 24, 2004 - March 2, 2009
IFS FUND DISTRIBUTORS, INC.
September 28, 2000 - November 7, 2002
CAPITOL SECURITIES MANAGEMENT, INC.
November 4, 1999 - February 20, 2001
STOCKGIFT CORPORATION
June 6, 1997 - September 3, 1998
FIRST UNION BROKERAGE SERVICES, INC.
June 26, 1994 - April 18, 1997
CITICORP INVESTMENT SERVICES
October 5, 1992 - June 13, 1994
FERGUSON, ANDREWS & ASSOCIATES, INC.
June 10, 1988 - October 6, 1992
LEGG MASON WOOD WALKER, INCORPORATED
September 19, 1979 - June 22, 1988
THOMSON MCKINNON SECURITIES INC.
Primary Firm SEC Registration
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
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: 10/25/1984
Interest Rate Options ExaminationSeries 15
Date: 10/18/1984
Foreign Currency Options ExaminationSeries 8
Date: 5/15/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 116 |
| AUM (Assets Under Management) | $ 24,355,321 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
| Bond | 8 |
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.
