Deborah Battles
Deborah Battles is a registered investment advisor at Cetera Investment Advisers LLC, based in Fargo, ND, with 32 years of industry experience. Deborah operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Location
Fargo, ND
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Deborah is the president of SmartMoney Financial Consultants Inc, an S-Corp, and receives a salary. She also sells fixed insurance products including life, disability, annuities, and long-term care, dedicating about a quarter of her time to this. Additionally, Deborah is an affiliated person with Deb Battles, Financial Network, a financial services business, spending about a quarter of her time there.
Employment History
Current Registrations
Cetera Investment Advisers LLC
Cetera Wealth Services, LLCBroker
Previous Registrations
Cetera Advisor Networks LLC
Wells Fargo Brokerage Services, L.L.C.Broker
Edward D. Jones & CO., L.P.Broker
State Registrations9 states
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