Anthony W. Battista
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 William Battista was a registered financial advisor .
Anthony is a previously registered financial advisor and started their career in finance in 2008. Anthony had worked at 3 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 12, 2009 - December 31, 2009
THINKORSWIM ADVISORS, INC.
June 26, 2009 - May 10, 2011
TD AMERITRADE, INC.
September 16, 2008 - May 27, 2010
BELLEVUE CHICAGO, LLC
State Registrations and Notice Filings
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Exams
Current firm
No current employment
Red Flags
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