Anthony S. Battaglia
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.
Anthony Sylvester Battaglia JR, who also goes by Jr Anthony Sylvester Battaglia, Skip Battaglia Jr, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1982. Anthony had worked at 4 firms and has passed the Series 65, Series 63, Series 3, Series 15, Series 5, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 1996 - August 2, 1996
NORTHEAST SECURITIES, LLC
November 22, 1985 - January 22, 1996
UBS FINANCIAL SERVICES INC.
August 23, 1982 - December 5, 1985
MORGAN STANLEY DW INC.
June 29, 1982 - September 10, 1982
NELSON IVEST BROKERAGE SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 15
Date: 12/26/1984
Foreign Currency Options ExaminationSeries 5
Date: 12/11/1982
Interest Rate Options ExaminationSeries 8
Date: 9/7/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
NORTHEAST SECURITIES, LLC
CRD#: 25996 / SEC#: , 8-42227
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSIGNEO FINANCIAL SERVICES, LLC | SHAREHOLDER | |
| ALMERINI, LOUIS ACHILLE | FINOP | 1605183 |
| DIAMANTIS, JOHN M | CHAIRMAN | 1310200 |
| DUFFY, PAUL EDWARD | PRESIDENT | 2227111 |
| O'ROURKE, CHARLES MICHAEL | SECRETARY | 733917 |
| STICE, HAROLD EUGENE | CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER, ROSFP | 1349210 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 11 |
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.
