Nicholas Chuck Batten

Cetera Investment Advisers LLC

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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

Authority	Category	Status	Date
NC	RA	APPROVED	2019-10-07

NC RA
APPROVED

Since 2019-10-07

Branch Locations

5200 77 Center Drive Suite 210, Charlotte, NC 28217 • 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

Organization	City	State	From	To
Foresters Financial Services	Charlotte	NC	02/2018	09/2018
Bass Pro Shops	Charlotte	NC	11/2016	11/2017
Unc Charlotte	Charlotte	NC	08/2014	12/2017
Unemployed	Durham	NC	12/2017	02/2018
Foresters Financial Services	Charlotte	NC	09/2018	06/2019
Cetera Investment Services Llc	St. Cloud	MN	06/2019	Present
Cetera Investment Advisers Llc	Charlotte	NC	10/2019	Present

02/2018 → 09/2018

Foresters Financial Services

Charlotte, NC
11/2016 → 11/2017

Bass Pro Shops

Charlotte, NC
08/2014 → 12/2017

Unc Charlotte

Charlotte, NC
12/2017 → 02/2018

Unemployed

Durham, NC
09/2018 → 06/2019

Foresters Financial Services

Charlotte, NC
06/2019 → Present

Cetera Investment Services Llc

St. Cloud, MN
10/2019 → Present

Cetera Investment Advisers Llc

Charlotte, NC

Other Businesses

1) CO-OWNER OF CNL MANAGEMENT, LLC; RENTAL PROPERTY. LLC OWNED WITH BROTHER AND FATHER

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2019-10-04
S63	Uniform Securities Agent State Law Examination	2018-04-17

S65 Uniform Investment Adviser Law Examination

2019-10-04
S63 Uniform Securities Agent State Law Examination

2018-04-17

View on SEC IAPD

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