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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

ROBERT CHARLES BATICK

Advisor at CETERA INVESTMENT ADVISERS LLC

Guilford, CT | WALPOLE, MA | GUILFORD, CT

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Search this name across graphsid dfx:ria:c720baa0-b9d5-93e4-1da7-d41f1e7b73b6

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Sep 6, 2000 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CETERA INVESTMENT ADVISERS LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 18, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 2
Registered states: 2
Exams: S65|S63
First exam: Mar 18, 1992
First registration: Sep 6, 2000
Dual registered: yes, broker-dealer
Other names: BOB BATICK
IAPD individual key: 2192524

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Mar 6, 2023	n/a	yes	GUILFORD, CT	Current employment
THE PATRIOT FINANCIAL GROUP, LLC	Independent wealth	May 21, 2021	n/a	yes	Guilford, CT\|WALPOLE, MA	Current employment
WESTPORT CAPITAL MARKETS, LLC	Former SEC adviser	Jun 17, 2011	Jun 9, 2021	no	GUILFORD, CT\|WESTPORT, CT\|GUILFORD, CT\|WESTPORT, CT	Previous registration
RBC CAPITAL MARKETS, LLC	National bd RIA	Mar 7, 2005	Jun 28, 2011	no	NEW HAVEN, CT\|HARTFORD, CT\|NEW HAVEN, CT\|NEW HAVEN , CT	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Sep 6, 2000	Mar 31, 2005	no	NEW HAVEN, CT	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
WESTPORT CAPITAL MARKETS, LLC	THE PATRIOT FINANCIAL GROUP, LLC	Jun 9, 2021	May 21, 2021	-19	Firm change	RIA to RIA
RBC CAPITAL MARKETS, LLC	WESTPORT CAPITAL MARKETS, LLC	Jun 28, 2011	Jun 17, 2011	-11	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	RBC CAPITAL MARKETS, LLC	Mar 31, 2005	Mar 7, 2005	-24	Firm change	Other

Relationships

Registered with (5)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Mar 6, 2023 to presentfactForm ADV
→ THE PATRIOT FINANCIAL GROUP, LLCRegistered adviserregistration: current employment
May 21, 2021 to presentfactForm ADV
→ WESTPORT CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
Jun 17, 2011 to Jun 9, 2021factForm ADV
→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
Mar 7, 2005 to Jun 28, 2011factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Sep 6, 2000 to Mar 31, 2005factForm ADV

Dated events

No dated event names this entity yet.