Bartholomew A. 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.
Bartholomew Angelo Battista, who also goes by Bart Battista, Bartholomew A Battista, was a registered financial professional .
Bartholomew is a previously registered financial professional and started their career in finance in 1984. Bartholomew had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2008 - September 24, 2013
BLACKROCK CAPITAL MARKETS, LLC
June 10, 2004 - November 4, 2004
PNC CAPITAL MARKETS LLC
July 30, 2002 - May 18, 2015
BLACKROCK INVESTMENTS, LLC
January 18, 1995 - July 6, 1995
RIVERSOURCE SERVICES, INC.
March 30, 1993 - July 6, 1995
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
October 27, 1988 - July 16, 1992
ALLIANCEBERNSTEIN INVESTMENTS, INC.
September 23, 1985 - October 10, 1986
CALVIN BULLOCK, LTD.
May 30, 1984 - September 23, 1987
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
May 30, 1984 - November 9, 1989
EQUITABLE ADVISORS, LLC
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
Current Firm
BLACKROCK CAPITAL MARKETS, LLC
CRD#: 146514 / SEC#: , 8-67827
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BLACKROCK, INC. | SOLE MEMBER | |
| FINK, LAURENCE DOUGLAS | DIRECTOR | 830137 |
| KAPITO, ROBERT S | DIRECTOR | 728399 |
| MONTENECOURT, GENE EDWARD | CHIEF COMPLIANCE OFFICER | 3230216 |
| PATHAK, SAURABH P | CHIEF FINANCIAL OFFICER AND FINOP | 5920712 |
| VOGEL, CHRISTOPHER JOHN | PRESIDENT/CHIEF EXECUTIVE OFFICER | 4401579 |
| WALTCHER, DANIEL R | DIRECTOR |
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.
