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Detailed Report
Stephen Craig Batts
STEPHEN CRAIG BATTS
CRD#: 6376971
IA
Investment Adviser
B
Broker
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCCRD#: 149018 1508 Military Cutoff Road
Suite 305
Wilmington, NC 28403
RAYMOND JAMES FINANCIAL SERVICES, INC.CRD#: 6694 1508 Military Cutoff Road
Suite 102
Wilmington, NC 28403
Registration History
20142015201620172018201920202021202220232024202520262 FIRMS2023 - Present (1 year)BEDWARD JONES (CRD# 250)2014 - 2023 (9 years)IAEDWARD JONES (CRD# 250)2015 - 2023 (8 years)
License(s)

State Registrations

B
Colorado 3/22/2024
IA
North Carolina 9/7/2023
B
Connecticut 9/7/2023
B
Ohio 9/7/2023
B
Florida 9/7/2023
B
Pennsylvania 9/7/2023
B
Georgia 9/7/2023
B
Rhode Island 9/7/2023
B
Illinois 9/7/2023
B
South Carolina 9/7/2023
B
Indiana 9/7/2023
B
Tennessee 9/7/2023
B
Maine 9/7/2023
B
Texas 9/7/2023
B
Massachusetts 9/7/2023
IA
Texas 9/7/2023
B
New York 9/7/2023
B
Virginia 9/7/2023
B
North Carolina 9/7/2023
B
West Virginia 9/7/2023

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018)
1508 Military Cutoff Road Suite 305, Wilmington, NC 28403
Registered with this firm since 9/7/2023
B
RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694)
1508 Military Cutoff Road Suite 102, Wilmington, NC 28403
Registered with this firm since 9/7/2023
Previous Registration(s)
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IA
 01/30/2015 - 09/15/2023 EDWARD JONES (CRD#:250) WILMINGTON, NC
B
 09/22/2014 - 09/15/2023 EDWARD JONES (CRD#:250) WILMINGTON, NC
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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.
IA
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
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.