Allison Batt

Allison is a Fiduciary

The fiduciary standard of care requires that a financial adviser act solely in the client’s best interest when offering personalized financial advice.

Master of Science with a Biochemistry focus from the University of Cincinnati

The formal course work consists of two segments: qualification courses (taken in the first year) and advanced courses in and outside of the student’s selected major subdiscipline (analytical, biochemistry, inorganic, organic, and physical chemistry). The qualification courses present the core material of the different subdivisions of chemistry. Advanced coursework is intended to expose students to the newest and most sophisticated developments in the field. The nature of these courses changes with time; new advanced (or special topics) courses are added regularly as timely subject matter needs introduction into the curriculum, and older courses are revamped or phased out.

The thesis option includes the completion and oral defense of an original research problem.

The important skills demanded by all employers (industry, academia, government) of chemists are technical expertise in their field; the ability to define, address, and solve research problems; technical and personal leadership; and the ability to communicate orally and in writing. In addition, industry emphasizes the ability to work in teams, while academic careers require a strong teaching ability.

Technical expertise is emphasized throughout the curriculum. Students must complete six qualification courses -at least three of which are in their sub-discipline of chemistry- with a B+ average in their first year of the program. They must then complete two more courses during their graduate career.

Oral and written communication skills are developed through curricular requirements and individual student opportunities.

All students have the opportunity to do some teaching in the program. All incoming graduate students who are supported by the Department must serve in their first year as a departmental teaching assistant (TA). After students select their research advisors, they then have the opportunity to be supported by either a departmental teaching assistantship or as a research assistant on their advisor’s grant.

Series 7

The Series 7 is an exam and license that entitles the holder to sell all types of securities products with the exception of commodities and futures. Known formally as the General Securities Representative Qualification Examination, the Series 7 exam and its licensing is administered by the Financial Industry Regulatory Authority (FINRA).

The Series 7 exam is taken by U.S. stockbrokers to obtain a license to trade. The bulk of the Series 7 exam focuses on investment risk, taxation, equity and debt instruments, packaged securities, options, retirement plans, and interactions with clients.

Series 6

The Series 6 is a securities license entitling the holder to register as a company’s representative and sell mutual funds, variable annuities and insurance. Holders of the Series 6 license are not permitted to sell corporate or municipal securities, direct participation programs and options. With Series 6, an individual can purchase or sell mutual funds, variable life insurance, municipal fund securities, variable annuities and unit investment trusts.

Series 63

The Series 63 is a securities exam and license entitling the holder to solicit orders for any type of security in a particular state. Agents must acquire the Series 63 license, in addition to a Series 7 or Series 6 license, to sell securities. To obtain a Series 63 license, the applicant must pass an exam and possess knowledge of ethical practices and fiduciary obligations.

Series 66

The Series 66 is an exam and license that is meant to qualify individuals as investment advisor representatives or securities agents. The Series 66, also known as the Uniform Combined State Law Examination, covers topics relevant to providing investment advice and effecting securities transactions for clients.

Allison’s State Securities Licenses: 5/2019


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