Jason BatistaCRD Number: 4628682
Current Firm: Sii Investments, Inc.
Jason Batista (CRD# 4628682) is an Investment Advisor Representative working at Sii Investments, Inc. in Worcester, MA and has over 13 years of experience in the finance industry.
Commonwealth Financial Network
Signator Investors, Inc.
1st Global Advisors Inc.
|Sii Investments, Inc.||Milford, MA||Jun 2007 - Current||9|
|Legacy Advisory Services||Petaluma, CA||Feb 2004 - Jun 2007||3|
|Legacy Financial Services||Petaluma, CA||Jan 2003 - Jun 2007||4|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Apr 2003|
|S65||NASAA Investment Advisors Law Examination||Jan 2004|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management4,226MILLIONS
Total Number of Accounts30,484ACCOUNTS
Average Account Value$138,626
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- 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
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, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV