This Brochure Supplement provides information about Allison Batt that is an accompaniment to the Disclosure Brochure for our firm, Cambridge Investment Research Advisors, Inc (CIRA). You should have received both of these together as a complete disclosure packet. If you did not receive our Disclosure Brochure or if you have questions about this Brochure Supplement for Allison Batt, you are welcome to contact us through the information listed below.
Additional information about Allison Batt is available on the SEC website at www.adviserinfo.sec.gov. Please be aware that not all states require registration and therefore your Advisor may not show up on the SEC website.
Allison Batt, MS
MS
CRD#: 4125218
Year of Birth: 1974
EDUCATIONAL BACKGROUND AND BUSINESS EXPERIENCE
Education
University of Cincinnati, M.A – Chemistry, 1999
Hiram College, B.A – Chemistry, 1995
Business Background
Investment Advisor Representative, Cambridge Investment
Research Advisors, Inc.,
March 2014 To Present
Registered Representative, Cambridge Investment Research, Inc ,
March 2014 To Present
DISCIPLINARY INFORMATION
Allison Batt has no legal or disciplinary events to report.
OTHER BUSINESS ACTIVITIES
In addition to serving as your investment advisory representative Allison Batt is engaged in the following business activities:
Administrative,Volunteer – 8th Grade Fundraising Holy Trinity School
Owner/Partner of a Business Entity,Insurance/Benefits/Human Resources – Allison Batt
Owner/Partner of a Business Entity,Insurance/Benefits/Human Resources – BattDouglas Financial Group
There are certain business activities in which a financial professional can engage that present potential conflicts of interest. If applicable, additional disclosure relevant to your Financial Professional’s outside business activities are outlined below. Please note that these are potential conflicts of interest and it is your Financial Professional’s fiduciary duty to act in your best interest. If you have any questions about the disclosures please ask your Financial Professional as this is an opportunity to better understand your relationship and your Financial Professional’s activities.
Your financial professional is also a registered representative with Cambridge Investment Research, Inc., (“CIR”) a registered securities broker/dealer, member of the Financial Industry Regulatory Authority (FINRA) and the Securities Investors Protection Corporation (SIPC). When acting as a registered representative of CIR, your financial professional sells, for commissions, general securities products such as stocks, bonds, mutual funds, exchange-traded funds, and variable annuity and variable life products to advisory clients. Clients are not obliged to purchase or sell securities through CIR or their Financial Professional. However, if you choose to establish an account with your Financial Professional, it is important to understand that due to regulatory constraints, your Financial Professional must place all purchases and sales of securities products in commission-based accounts through CIR or other institutions approved by CIR.
The receipt of commissions creates an incentive for your Financial Professional to recommend those products for which they will receive a commission. Consequently, the objectivity of the advice rendered to clients could be biased. Your Financial Professional controls for this potential conflict of interest by discussing with clients their specific needs, the benefits and negatives of establishing a fee-based account through CIRA versus establishing a commission-based account through CIR and also the compensation arrangements under the different scenarios.
Investment advisory fees charged by CIRA are separate and distinct from the fees and expenses charged by investment company securities that are recommended to you. A description of these fees and expenses are available in each investment company’s security prospectus. While not an exhaustive list, an example of these fees and expenses are mutual fund sales loads and surrender charges, variable annuity fees and surrender charges and IRA and qualified retirement plan fees. In addition, certain mutual fund companies, as outlined in the fund ’s prospectus, pay 12b-1 fees. 12b-1 fees are considered marketing or distribution fees and come from fund assets, therefore, indirectly from client assets. With your managed accounts, 12b-1 (marketing and distribution) fees and trail earned will be credited to your account at the clearing firm whenever possible. When 12b-1 fees and trails are received by your Financial Professional in his/her capacity as Registered Representative of Cambridge, the investment advisory fee will be lowered, or offset by that amount.
Your Financial Professional is independently licensed to sell insurance and annuity products through various insurance companies. When acting in this capacity, your Financial Professional will receive commissions for selling insurance and annuity products. Clients can choose any independent insurance agent and insurance company to purchase insurance products and are not obligated to purchase insurance products through your Financial Professional. Regardless of the insurance agent selected, the insurance agent or agency receives normal commissions from the sale. The receipt of compensation and other potential incentive benefits creates an incentive to recommend products to clients. At the time of any recommendations your Financial Professional will discuss the products, your needs and any compensation arrangements.
ADDITIONAL COMPENSATION
In addition to the description of other business activities outlined above, some Financial Professionals receive additional benefits from CIRA when assets are held through investment management platforms offered by CIRA, which may include CIRA’s WealthPort program (also described in CIRA’s Disclosure Brochure). The benefits received are in addition to the advisory fees received by your Financial Professional for serving as the investment advisor representative to the client’s account. These benefits include but are not limited to increased payout on portion of their investment advisory fees, discounts on performance reporting software and participation in conferences.
Certain product sponsors provide your Financial Professional with economic benefits as a result of your Financial Professional’s recommendation or sale of the product sponsors’ investments. The economic benefits received can include but are not limited to, financial assistance or the sponsorship of conferences and educational sessions, marketing support, incentive awards, payment of travel expenses, and tools to assist your Financial Professional in providing various services to clients. These economic benefits may be received directly by your Financial Professional or indirectly through CIRA and/or CIR who have entered into specific arrangements with product sponsors. These economic benefits could influence your Financial Professional to recommend certain products/programs over others. Please review the CIRA and Cambridge Revenue Sharing Disclosure located at www.joincambridge.com for further information. It is also available upon request.
Your Financial Professional’s investment advisory activities are supervised by Michael M. Delorme. Michael M. Delorme monitors the recommendations provided by your Financial Professional and any transactions that are executed in your advisory accounts. Supervision is conducted through electronic reporting as well as personal communications and visits with your Financial Professional.
Allison Batt
French Creek Centre, 36765
Detroit Rd
Westlake, OH 44145
(440) 503-1896
SUPERVISION
Michael M. Delorme
2771 County Route 45
Fulton,NY 13069
(315) 532-4010