Individual Firm
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DOUGLAS R BATTEN
CRD#: 5069022
IA
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CITIGROUP GLOBAL MARKETS INC.CRD#: 7059 Newark, DE
CITI PRIVATE ALTERNATIVES, LLCCRD#: 153777 CITI PRIVATE BANK, THE BRANDYWINE BUILDING
1000 N West Street, 4th Floor
Wilmington, DE 19801
1000 N West Street, 4th Floor
Wilmington, DE 19801
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Disclosures
17
Years of Experience
View By:
State Registrations
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Delaware 12/16/2011
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New Jersey 7/18/2012
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Delaware 12/16/2011
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New York 12/16/2011
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Maryland 7/18/2012
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Pennsylvania 7/18/2012
SRO Registrations
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View Exams Passed by the individual in the detailed report
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Registered with this firm since 4/17/2017
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Registered with this firm since 12/16/2011
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Registered with this firm since 12/16/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/29/2010 - 06/17/2011 | WILMINGTON, DE | |
B | 06/29/2010 - 06/17/2011 | WILMINGTON, DE | |
IA | 06/01/2009 - 06/24/2010 | PURCHASE, NY | |
B | 06/01/2009 - 06/24/2010 | PURCHASE, NY | |
IA | 05/28/2008 - 06/01/2009 | WILMINGTON, DE | |
B | 03/16/2007 - 06/01/2009 | NEW YORK, NY |
WILMINGTON, DE
06/29/2010 - 06/17/2011
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.