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Frances Annette Batista

Oppenheimer & Co. Inc.

Coral Gables, FL

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Current Employers
Oppenheimer & Co. Inc.

85 Broad Street 22Nd Floor, New York, NY 10004 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2017-05-17
FL RA APPROVED 2012-08-07
  • TX RA
    APPROVED_RES
    Since 2017-05-17
  • FL RA
    APPROVED
    Since 2012-08-07

Branch Locations

2811 Ponce De Leon Boulevard Suite 900, Coral Gables, FL 33134 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Oppenheimer & Co. Inc. Miami FL 01/2012 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-08-03
S65 Uniform Investment Adviser Law Examination 1997-06-05
S63 Uniform Securities Agent State Law Examination 1996-07-24
  • S66 Uniform Combined State Law Examination
    2012-08-03
  • S65 Uniform Investment Adviser Law Examination
    1997-06-05
  • S63 Uniform Securities Agent State Law Examination
    1996-07-24
Other Names
  • Frances Annette Batista
  • Frances Annette Batistamoure
  • Frances Annette Bueres

View on SEC IAPD

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RAYMOND JAMES & ASSOCIATES, INC. · CORAL GABLES, FL
STIFEL, NICOLAUS & COMPANY, INCORPORATED · Coral Gables, FL
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · CORAL GABLES, FL
ACCUMULATOR OPERATIONS LLC · CORAL GABLES, FL
021 INVESTMENTS LLC · MIAMI, FL
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CETERA INVESTMENT ADVISERS LLC · Coral Gables, FL
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