Giancarlo Battaglia
Professional summary
Giancarlo Battaglia, who also goes by Giancarlo Battaglia Della Lezardiere, is a registered financial professional currently at CNR SECURITIES, LLC located in New York, New York.
Giancarlo is registered as a RR (Registered Representative) and started their career in finance in 1990. Giancarlo has worked at 6 firms and has passed the Series 63, Series 99TO, Series 62, Series 57TO, SIE, Series 55, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Giancarlo Battaglia's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 11, 2026 - Present
CNR SECURITIES, LLC
Office #1: 400 Park Avenue 6th Floor, New York, NY 10022April 2, 2014 - January 28, 2025
INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC
December 4, 2000 - April 3, 2014
COWEN EXECUTION SERVICES LLC
December 2, 1994 - December 11, 1998
NATIONAL FINANCIAL SERVICES LLC
January 23, 1991 - March 5, 1991
HASAN GROWNEY CO. INC.
November 12, 1990 - March 7, 1991
LEGEND MERCHANT GROUP, 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
(1/11/2026)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 4/27/2005
Limited Representative-Equity Trader ExamFINRA
Current Firm
CNR SECURITIES, LLC
CRD#: 18466 / SEC#: , 8-36759
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITY NATIONAL ROCHDALE HOLDINGS, LLC | MANAGING MEMBER / 100% OWNER | |
| BANUELOS, ALMA DELIA | BOARD DIRECTOR | 4530705 |
| BARTON, RICHARD JOSEPH | CHIEF COMPLIANCE OFFICER | 2040869 |
| CEPLER, MITCHELL DANIEL | CFO AND FINOP | 4554270 |
| DANIEL, JOBY SWANKUTTY | BOARD DIRECTOR | 6616727 |
| GIAQUINTO, GREGG | PRESIDENT, CHIEF EXECUTIVE OFFICER, & BOARD DIRECTOR | 3182583 |
| O'KEEFFE, IVOR PATRICK | BOARD DIRECTOR | 2397120 |
| RILEY, SHAWN DAVID | BOARD DIRECTOR | 8157413 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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