JB
John S. Battaglia
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
PORT MATILDA, PA
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CRD#: 1894227
JB
Professional summary
John S. Battaglia, AIF®, who also goes by John S Battaglia, John Salvatore Battaglia Jr, is a registered financial advisor currently at UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER located in Port Matilda, Pennsylvania.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. John has worked at 10 firms and has passed the Series 63, Series 66, SIE, Series 6, Series 7, Series 24 and Series 27 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John S Battaglia | John Salvatore Battaglia Jr
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.) BATTAGLIA ASSOCIATES WEALTH ADVISORS - OWNER - DBA NAME FOR MARKETING PURPOSES ONLY - PORT MATILDA, PA - SINCE 12/2017 - INVESTMENT RELATED 2.) JOHN S. BATTAGLIA, JR. - OWNER - NON-VARIABLE INSURANCE - PORT MATILDA, PA - SINCE 01/2017 - INVESTMENT RELATED
CRS (Client Relationship Summary) - RIA
Click below to view John S. Battaglia's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John S. Battaglia's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
August 15, 2024 - Present
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
RIA
BD
CRD#: 20804
PORT MATILDA, PA
Current
August 15, 2024 - Present
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
RIA
BD
CRD#: 20804
PORT MATILDA, PA
Past
April 1, 2021 - August 21, 2024
GROVE POINT ADVISORS, LLC
RIA
CRD#: 313171
Port Matilda, PA
Past
January 3, 2017 - April 1, 2021
GROVE POINT INVESTMENTS, LLC
RIA
CRD#: 1763
Port Matilda, PA
Past
January 3, 2017 - August 21, 2024
GROVE POINT INVESTMENTS, LLC
BD
CRD#: 1763
Port Matilda, PA
Past
April 11, 2016 - January 4, 2017
ASSETMARK BROKERAGE, LLC
BD
CRD#: 169804
CONCORD, CA
Past
September 29, 2015 - January 4, 2017
ASSETMARK, INC.
RIA
CRD#: 109018
State College, PA
Past
March 31, 2008 - December 14, 2009
HAZARD & SIEGEL, INC.
BD
CRD#: 2048
DEWITT, NY
Past
January 10, 2007 - October 1, 2015
ARIS WEALTH SERVICES INC
RIA
CRD#: 104577
STATE COLLEGE, PA
Past
September 6, 2000 - June 10, 2005
SAFEGUARD SECURITIES, INC.
BD
CRD#: 31256
MAYFIELD HEIGHTS, OH
Past
December 23, 1994 - March 11, 1997
PNC BROKERAGE CORP
BD
CRD#: 34671
PITTSBURGH, PA
Past
November 2, 1988 - December 23, 1994
PNC CAPITAL MARKETS LLC
BD
CRD#: 15647
PITTSBURGH, PA
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".
UP
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
APEX RETIREMENT CONSULTING LLC | YEECORP FINANCIAL | WIRE TO WIRE WEALTH | WENDEL FINANCIAL GROUP | WEALTH AVENUE | VOYAGE PARTNERS FINANCIAL STRATEGIES, LLC | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA | UNITED PLANNERS FINANCIAL SERVICES | UNITED PLANNERS | TRIBUTE FINANCIAL INC. | STEWARDSHIP AMERICA FINANCIAL | SKYE FINANCIAL SERVICES, INC | SKS RETIREMENT SOLUTIONS | RIVERCREST FINANCIAL | RINGENBERG FINANCIAL GROUP | RETIREMENT & MONEY STRATEGIES | PALMER NUNN WEALTH MANAGEMENT | MUNKEBY KRAMER | MARION WEALTH MANAGEMENT GROUP | MABE FINANCIAL GROUP | LONG VIEW FINANCIAL SERVICES, INC. | LEE STOERZINGER, INC. | KILMER & COMPANY | INVESTMENT CENTER | HF CAPITAL GROUP LLC | HEMINGWAY WEALTH MANAGEMENT, LLC | GUIDANT PLANNING, INC | GOTTA RETIREMENT SERVICES, INC. | GER LOFTIN WEALTH ADVISORS, LLC | FULL CIRCLE FINANCIAL | FOOTHILL FINANCIAL GROUP | FIRESKY FINANCIAL INC. | FINANCIAL PLANNING ADVISORS, INC. | CATALYST FINANCIAL STRATEGIES LLC | CAPITAL LEGACY PARTNERS, LLC | BROOKHAVEN WEALTH MANAGEMENT INC. | BERAN FINANCIAL PARTNERS
CRD#: 20804 / SEC#: 801-57198, 8-38485
RIA
Registered Investment Advisory firm - SEC (1/28/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(8/15/2024)
RR
Florida(8/15/2024)
RR
Georgia(8/15/2024)
RR
Illinois(8/15/2024)
RR
Indiana(8/15/2024)
RR
Minnesota(8/15/2024)
RR
Nevada(8/15/2024)
RR
North Carolina(9/4/2024)
RR
Ohio(9/19/2024)
RR
Pennsylvania(8/15/2024)
IAR
Pennsylvania(8/15/2024)
RR
South Carolina(8/15/2024)
RR
Texas(8/15/2024)
IAR
Texas(8/16/2024)
RR
Utah(8/15/2024)
RR
Washington(8/15/2024)
RR
West Virginia(8/15/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
UP
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
APEX RETIREMENT CONSULTING LLC | YEECORP FINANCIAL | WIRE TO WIRE WEALTH | WENDEL FINANCIAL GROUP | WEALTH AVENUE | VOYAGE PARTNERS FINANCIAL STRATEGIES, LLC | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER | UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA | UNITED PLANNERS FINANCIAL SERVICES | UNITED PLANNERS | TRIBUTE FINANCIAL INC. | STEWARDSHIP AMERICA FINANCIAL | SKYE FINANCIAL SERVICES, INC | SKS RETIREMENT SOLUTIONS | RIVERCREST FINANCIAL | RINGENBERG FINANCIAL GROUP | RETIREMENT & MONEY STRATEGIES | PALMER NUNN WEALTH MANAGEMENT | MUNKEBY KRAMER | MARION WEALTH MANAGEMENT GROUP | MABE FINANCIAL GROUP | LONG VIEW FINANCIAL SERVICES, INC. | LEE STOERZINGER, INC. | KILMER & COMPANY | INVESTMENT CENTER | HF CAPITAL GROUP LLC | HEMINGWAY WEALTH MANAGEMENT, LLC | GUIDANT PLANNING, INC | GOTTA RETIREMENT SERVICES, INC. | GER LOFTIN WEALTH ADVISORS, LLC | FULL CIRCLE FINANCIAL | FOOTHILL FINANCIAL GROUP | FIRESKY FINANCIAL INC. | FINANCIAL PLANNING ADVISORS, INC. | CATALYST FINANCIAL STRATEGIES LLC | CAPITAL LEGACY PARTNERS, LLC | BROOKHAVEN WEALTH MANAGEMENT INC. | BERAN FINANCIAL PARTNERS
CRD#: 20804 / SEC#: 801-57198, 8-38485
RIA
Registered Investment Advisory firm - SEC (1/28/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
7333 E. Doubletree Ranch Road #120, Scottsdale, AZ 85258
Mailing Address
P.o. Box 5750, Scottsdale, AZ 85261-5750
Phone number
(480) 991-0225
Established
Arizona since 08/21/1987
Firm type
Partnership
Fiscal year end
December
Firm Size
Large
# of Employees
614
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UNITED PLANNERS' GROUP, INC. | GENERAL PARTNER | |
| BAKER, MICHAEL A | PRESIDENT | 4037933 |
| BAKER, MICHAEL A | CHIEF EXECUTIVE OFFICE (CEO) | 4037933 |
| CUFFARI-AGASI, SHEILA JUNE | EXECUTIVE VICE PRESIDENT | 2401020 |
| HAUER, DAVE B | VICE PRESIDENT COMPLIANCE, CHIEF COMPLIANCE OFFICER | 4018434 |
| OLIVERIO, KENNETH WILLIAM JR | EXECUTIVE VICE PRESIDENT, CHIEF MARKETING OFFICER | 2957427 |
| SHINDEL, CHAD TRAVIS | VICE PRESIDENT, CHIEF FINANCIAL OFFICER (CFO) | 6232253 |
Regulatory assets under management
| Total Number of Accounts | 41,834 |
| AUM (Assets Under Management) | $ 10,637,349,683 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
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.
