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Current Employers
Nations Financial Group, Inc.

3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411 • United States

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2023-02-27
TX RA APPROVED_RES 2023-02-22
WA RA APPROVED 2021-02-11
  • GA RA
    APPROVED
    Since 2023-02-27
  • TX RA
    APPROVED_RES
    Since 2023-02-22
  • WA RA
    APPROVED
    Since 2021-02-11

Branch Locations

3491 Nw Anderson Hill Rd., Silverdale, WA 98383 • United States

3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411 • UNITED STATES

Cartersville, GA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Financial Network, Llc Silverdale WA 09/2011 12/2017
Summit Brokerage Services Inc. Silverdale WA 12/2017 09/2019
Summit Financial Group Inc Silverdale WA 12/2017 02/2021
Cetera Advisor Networks Llc Silverdale WA 09/2019 02/2021
Nations Financial Group, Inc. Silverdale WA 02/2021 Present
Previous Registrations
Other Businesses

(1) CORINTHIAN WEALTH PARTNERS LLC. 3491 NW ANDERSON HILL RD NW. SILVERDALE, WA 98383. IS INVESTMENT RELATED. NATURE OF BUSINESS IS DBA TO OFFER INVESTMENT AND ADVISORY SERVICES. POSITION IS OWNER. STARTED 3/1/2013. SPEND APPROX 0 HRS ON BUSINESS. DUTIES ARE TO MAKE DECISIONS ON ANY ISSUES REGARDING THE COMPANY. (2) CORINTHIAN WEALTH PARTNERS 401K; 3491 NW ANDERSON HILLL RD NW. SILVERDALE, WA 98383. IS INVESTMENT RELATED. NATURE OF BUSINESS IS 401K PLAN. POSITION IS TTEE. STARTED 3/1/2013. APX 1 HOUR/MONTH, 0 DURING TRADING; DUTIES ARE AS TRUSTEE FOR 401K PLAN (3) ANDERSON HILL PROPERTIES; 3491 ANDERSON HILL RD, SILVERDALE, WA 98383; NOT INVESMENT RELATED. NATURE OF BUSINESS IS COMMERCIAL PROPERTY; POSITION IS OWNER; STARTED 4/2/2018; APX 4 HOURS/MONTH, NONE DURING TRADING; DUTIES ARE TO MANAGE COMMERCIAL PROPERTY

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-07-20
S63 Uniform Securities Agent State Law Examination 1987-01-30
  • S65 Uniform Investment Adviser Law Examination
    1992-07-20
  • S63 Uniform Securities Agent State Law Examination
    1987-01-30
Other Names
  • Bob Battin

View on SEC IAPD

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