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Austin Richard Batista

Cetera Investment Advisers LLC

Walnut Creek, CA

Concord, CA

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Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2019-06-19
  • CA RA
    APPROVED
    Since 2019-06-19

Branch Locations

1600 South Main Street Suite 315, Walnut Creek, CA 94596 • United States

Concord, CA • 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
Foresters Financial Walnut Creek CA 01/2011 06/2019
Foresters Advisory Services Llc Walnut Creek CA 10/2013 06/2019
Cetera Investment Services Llc St Cloud MN 06/2019 Present
Cetera Investment Advisers Llc Walnut Creek CA 06/2019 Present
  • 01/2011 → 06/2019
    Foresters Financial
    Walnut Creek, CA
  • 10/2013 → 06/2019
    Foresters Advisory Services Llc
    Walnut Creek, CA
  • 06/2019 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 06/2019 → Present
    Cetera Investment Advisers Llc
    Walnut Creek, CA
Previous Registrations
  • 2013-10-02 → 2019-06-20
    Foresters Advisory Services, Llc
    Walnut Creek, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-08-28
S63 Uniform Securities Agent State Law Examination 2010-10-12
  • S66 Uniform Combined State Law Examination
    2013-08-28
  • S63 Uniform Securities Agent State Law Examination
    2010-10-12

View on SEC IAPD

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Annie Claire Klopstock
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Other Offices

USCF ADVISERS · WALNUT CREEK, CA
BURTON ENRIGHT WELCH · WALNUT CREEK, CA
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC · WALNUT CREEK, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · WALNUT CREEK, CA
SAVANT WEALTH MANAGEMENT · Walnut Creek, CA
ONE CAPITAL MANAGEMENT, LLC · Walnut Creek, CA
ROCKEFELLER FINANCIAL LLC · Walnut Creek, CA
OSAIC WEALTH, INC. · WALNUT CREEK, CA

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