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JB

James A. Battaglia

Some features on this profile are disabled
CRD#: 1012084
JB

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

James Albert Battaglia JR, who also goes by James A Battaglia, James Albert Battaglia, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1981. James had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James A Battaglia | James Albert Battaglia

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 17, 2019 - March 17, 2020

CABOT LODGE SECURITIES LLC

BD
CRD#: 159712
Canandaigua, NY
Past

September 11, 2015 - March 8, 2017

SB ADVISORY, LLC

RIA
CRD#: 154680
Canandaigua, NY
Past

September 3, 2015 - September 21, 2019

IFS SECURITIES

BD
CRD#: 40375
Canandaigua, NY
Past

November 5, 2007 - September 11, 2015

J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC

RIA
CRD#: 124446
CANANDAIGUA, NY
Past

September 30, 2002 - September 11, 2015

J.P. TURNER & COMPANY, L.L.C.

BD
CRD#: 43177
CANANDAIGUA, NY
Past

September 28, 1998 - September 30, 2002

SCHNEIDER SECURITIES, INC.

BD
CRD#: 16434
DENVER, CO
Past

January 16, 1985 - October 5, 1998

H.J. MEYERS & CO., INC.

BD
CRD#: 15609
ROCHESTER, NY
Past

December 20, 1983 - January 18, 1985

APPLE FINANCIAL CORPORATION

BD
CRD#: 10375
Past

October 29, 1981 - September 19, 1983

FIRST JERSEY SECURITIES, INC.

BD
CRD#: 6621

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 9/24/2007
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/28/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/17/1981
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 6/9/2000
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/3/1986
General Securities Principal Examination

Current Firm

CL
CABOT LODGE SECURITIES LLC
CABOT LODGE SECURITIES LLC | WENTWORTH CAPITAL MARKETS | PRIME UNITED SECURITIES LLC

CRD#: 159712 / SEC#: , 8-69009

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
425 N Martingale Rd Suite 1220, Schaumburg, IL 60173
Mailing Address
425 N Martingale Rd Suite 1220, Schaumburg, IL 60173
Phone number
(212) 388-6200
Established
Delaware since 10/21/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PKS HOLDINGS LLCMEMBER
FEIGENBLATT, ELANA RACHELCOO4880188
GOULD, CRAIG MICHAELPRESIDENT/CEO2367293
LEIBOWITZ, ROGER FARRELLFINOP2536523
SMITH, STEPHEN JOSEPHOPTIONS PRINCIPAL1123669
WEBB, WILLIAM DUDLEY JRCHIEF COMPLIANCE OFFICER1256777

Disclosures

Regulatory Event2
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

CABOT LODGE SECURITIES LLC

CRD#: 159712

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