Scott C. Battaglini
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.
Scott Christopher Battaglini was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1994. Scott had worked at 6 firms and has passed the Series 65, Series 63 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
December 14, 2012 - April 29, 2013
CAVU SECURITIES LLC
September 9, 2009 - December 2, 2010
COMPASS POINT RESEARCH & TRADING, LLC
January 16, 1998 - September 29, 2009
B. RILEY SECURITIES, INC.
April 18, 1996 - January 20, 1998
CHEVY CHASE FINANCIAL SERVICES
November 2, 1994 - February 13, 1995
JOSEPHTHAL & CO., INC.
June 10, 1994 - October 13, 1994
STRATTON OAKMONT INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CAVU SECURITIES LLC
CRD#: 6906 / SEC#: , 8-18428
Contact information
FINRA licenses (51 States and Territories)
Red Flags
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