ANDREW VANNESS BATTLE is currently employed as a Broker and/or Investment Adviser at CAPFINANCIAL SECURITIES, LLC. located at 4208 SIX FORKS ROAD #1700, RALEIGH, NC, 27609.
ANDREW VANNESS BATTLE has worked at CAPFINANCIAL SECURITIES, LLC. since April 07, 2016
Disclosure History
ANDREW VANNESS BATTLE has 1 Disclosure Event(s).
Date: August 01, 2011 Category: Employment Separation After Allegations Firm Name: FIRST CITIZENS INVESTOR SERVICES INC Termination Type: Discharged Allegations: TERMINATED BY AFFILIATED BANK FOR FAILURE TO FOLLOW PROCEDURES FOR THE OVERSIGHT OF ACCOUNTS Broker Comment: CLIENT ACCOUNT WANTED THREE DIFFERENT INVESTMENT OPTIONS. THEY CHOSE TWO BUT NOT THE THIRD AND IT WAS NOT UNDERSTOOD BY ME THAT ANY INVESTMENT WAS TO TAKE PLACE PRIOR TO THE THIRD OPTION BEING CHOSEN. WHEN I FOLLOWED UP TO SEE WHEN THE THIRD INVESTMENT CHOICE WOULD BE MADE COMPANY INFORMED ME THAT THEY HAD STATED TO ANOTHER PARTY THAT THE INVESTMENT SHOULD HAVE OCCURRED TO MAKE THE CLIENTS CHOICE.
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