Nicholas Batten, financial advisor Charlotte NC

Nicholas Batten

CRD Number: 6909024
Current Firm: Cetera Investment Advisers LLC

Nicholas Batten (CRD# 6909024) is an Investment Advisor Representative working at Cetera Investment Advisers LLC in Charlotte, NC and has over 6 years of experience in the finance industry.

Similar Advisors
Jason Moore, financial advisor Charlotte NC
Jason N. Moore
CRD# 5182920
Moore Investment Partners, LLC
Similar Advisors
Scott Biedrycki, financial advisor Charlotte NC
Scott A. Biedrycki
CRD# 862387
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Similar Advisors
Don Stamas, financial advisor Charlotte NC
Don Stamas
CRD# 2867492
Defender Capital
Company Name Location Dates Years
Cetera Investment Advisers LLC Charlotte, NC Oct 2019 - Current 4
Cetera Investment Services LLC St. Cloud, MN Jun 2019 - Current 5
Foresters Financial Services Charlotte, NC Sep 2018 - Jun 2019 < 1
Foresters Financial Services Charlotte, NC Feb 2018 - Sep 2018 < 1
Unemployed Durham, NC Dec 2017 - Feb 2018 < 1
Unc Charlotte Charlotte, NC Aug 2014 - Dec 2017 3
Bass Pro Shops Charlotte, NC Nov 2016 - Nov 2017 1
Lowes Home Improvement Durham, NC Apr 2015 - Aug 2015 < 1
Pnc Arena Durham, NC Oct 2014 - Apr 2015 < 1
Unemployed Durham, NC Aug 2014 - Oct 2014 < 1
Wheels Family Fun Park Durham, NC Jun 2013 - Aug 2014 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Apr 2018
S65 NASAA Investment Advisors Law Examination Oct 2019
Contact Info for Nicholas C. Batten
Phone Number: 310-257-7880
Registered State(s):
  • NC
By the Numbers
  • Total Assets Under Management
    104,469
    MILLIONS
  • Total Number of Accounts
    423,554
    ACCOUNTS
  • Average Account Value
    $246,648
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

Ready to hire a financial advisor? Get competitive proposals from multiple advisors.
BADGES

About Wealthminder

Wealthminder was created for one simple reason: To help people get the financial assistance they need to achieve their long-term financial goals.

Wealthminder is a database derived from SEC.gov data covering every Investment Advisor Representative in the country. We work hard to collect and provide you the information you need to find a financial advisor who’s right for you.

Finding a Financial Advisor through Wealthminder

Historically finding and hiring a financial advisor was hard. Wealthminder was built to make the process much easier.

The best way to use Wealthminder is to take advantage of our free proposal system. All you have to do is take a few minutes of your time to describe your situation and the assistance you are looking for.

Wealthminder then sends your request to our network of prescreened financial advisors. If a financial advisor is interested in your business, they will submit a proposal to you.

You review the proposals you receive and decide if you’d like to have a follow-up call with one or more of the financial advisors.

Throughout the process, you maintain control. We only share your contact information with a financial advisor once you ask for an introduction.