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James Wesley Battle is a financial_advisor professional located in Rockville, MD. They specialize in financial advisory. With over 13 years of experience, they bring deep expertise to every client.
James Wesley Battle - Cetera Wealth Services, Llc holds an active professional license (FINRA CRD) for your protection.
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James Wesley Battle is a financial advisor based in Rockville, Maryland, operating through Cetera Wealth Services, LLC. With 13 years in the financial services industry, Battle brings substantial experience to client relationships. He holds a FINRA CRD registration, which identifies him within the regulatory framework overseen by the Financial Industry Regulatory Authority. This registration number (5485572) is maintained in FINRA's Central Registration Depository.
A FINRA CRD registration means James Wesley Battle is registered with the Financial Industry Regulatory Authority, the primary regulator for investment professionals in the United States. This registration indicates he operates under FINRA oversight and compliance requirements, which govern conduct, advertising, and client interactions in the securities industry. The CRD number serves as his unique identifier in FINRA's database, allowing clients and regulators to verify his registration status and review any disciplinary history or background information. This structure protects investors by ensuring registered representatives maintain standards set by FINRA.