James Richard Batey
Investment adviser representative at Founders Financial Alliance, LLC
15 yearsExperience
1 stateRegistered in
$1.2BFirm assets
9 yearsFirm in business
Are you James Richard Batey? Claim your profile
Contact this firm
How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
Experience
15 years in the industry.
- Founders Financial Alliance, LLCApr 2026 to now
- LPL Financial, LLCApr 2026 to now
- AgiaDec 2022 to Apr 2026
- Valic Financial Advisors, Inc.Jul 2011 to Apr 2026
Exams passed
- Series 63 · Uniform Securities Agent State Law2006
- Series 65 · Uniform Investment Adviser Law2010
State registrations
Registered as an investment adviser representative in 1 state (NC).
Founders Financial Alliance, LLC
$1.2BAssets managed
2,412Clients
33Advisers
9 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 5075948
- Firm CRD
- 173011