Christopher J. Battiste

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CRD#: 1101616

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.

Christopher John Battiste, CFP®, who also goes by Chris Battiste, was a registered financial professional .

Christopher is a previously registered financial professional and started their career in finance in 1983. Christopher had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Chris Battiste

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.

(1) 05/31/2012 - ALBANY FINANCIAL GROUP/ DBA ONLY/ ALBANY, NY. (2) 2/7/2013: NON-VARIABLE INSURANCE - POSSIBLE PLACEMENT OF NON-VARIABLE LIFE, FIXED ANNUITY, AND LTC PRODUCTS. - TIME SPENT 5% - ALBANY, NY (3) 12/23/2013 - REGISTERED INVESTMENT ADVISOR - (HYBRID) PRIVATE ADVISOR GROUP - CHARGE WRAP FEES - 80% OF TIME SPENT - ALBANY, NY

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®

CFP^®

Certified Financial Planner

Start date: 1996

Experience

Past

October 11, 2022 - November 15, 2023

MARSHALL & STERLING WEALTH ADVISORS, INC.

RIA

CRD#: 164345

Albany, NY

Past

October 29, 2013 - October 2, 2023

PRIVATE ADVISOR GROUP, LLC

RIA

CRD#: 155216

ALBANY, NY

Past

June 1, 2012 - November 14, 2023

LPL FINANCIAL LLC

CRD#: 6413

KINGSTON, NY

Past

August 9, 2005 - June 7, 2012

MML INVESTORS SERVICES, LLC

CRD#: 10409

ALBANY, NY

Past

October 22, 2003 - August 23, 2005

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Past

June 16, 1999 - October 16, 2003

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Past

February 19, 1999 - June 17, 1999

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

NEW YORK, NY

Past

August 3, 1992 - February 19, 1999

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Past

March 23, 1983 - May 31, 1984

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MARSHALL & STERLING WEALTH ADVISORS, INC.

CRD#: 164345 / SEC#: 801-78688

RIA

Registered Investment Advisory firm - (11/1/2013 Approved)

New York

Registered Investment Advisory firm - (11/12/2013 Terminated)

Texas

Registered Investment Advisory firm - (11/12/2013 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 7/31/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/25/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/31/1992

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/5/2006

General Securities Principal Examination

Current Firm

MARSHALL & STERLING WEALTH ADVISORS, INC.

CRD#: 164345 / SEC#: 801-78688

RIA

Registered Investment Advisory firm - (11/1/2013 Approved)

New York

Registered Investment Advisory firm - (11/12/2013 Terminated)

Texas

Registered Investment Advisory firm - (11/12/2013 Terminated)

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Contact information

Main Address

278 Mill Street Suite 301, Poughkeepsie, NY 12601

Mailing Address

Phone number

(845) 554-1046

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE (4/2/2025)

Regulatory assets under management

Total Number of Accounts	1,598
AUM (Assets Under Management)	$ 995,832,115

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.

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Advisor Monitoring

Firm Stability Insights

Christopher J. Battiste

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PRIVATE ADVISOR GROUP, LLC

LPL FINANCIAL LLC

MML INVESTORS SERVICES, LLC

NYLIFE SECURITIES LLC

WS GRIFFITH SECURITIES, INC.

NATHAN & LEWIS SECURITIES, INC.

WS GRIFFITH SECURITIES, INC.

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

MARSHALL & STERLING WEALTH ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/31/1992

SIE

Date: 10/1/2018

Series 7

Date: 5/25/2000

Series 6

Date: 7/31/1992

Series 24

Date: 12/5/2006

Current Firm

MARSHALL & STERLING WEALTH ADVISORS, INC.

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MARSHALL & STERLING WEALTH ADVISORS, INC.

TRUST BUT VERIFY

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