David V. Battisto
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.
David V Battisto, who also goes by Dave Battisto, David VIto Battisto, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1995. David had worked at 11 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 55, Series 7 and Series 11 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 6, 2023 - July 28, 2023
MORGAN STANLEY
January 1, 2023 - July 28, 2023
E*TRADE SECURITIES LLC
March 25, 2013 - July 16, 2014
TRADINGBLOCK
July 22, 2010 - March 18, 2011
ADVANCED EQUITIES, INC.
July 22, 2010 - March 18, 2011
ADVANCED EQUITIES, INC.
February 26, 2009 - January 5, 2010
GREAT LAKES ADVISORS, LLC
January 7, 2009 - January 5, 2010
WINTRUST INVESTMENTS LLC
August 11, 2006 - February 6, 2008
G1 EXECUTION SERVICES, LLC
June 30, 2003 - February 27, 2004
G1 EXECUTION SERVICES, LLC
January 22, 2002 - June 27, 2003
E*TRADE CAPITAL MARKETS - EXECUTION SERVICES LLC
January 14, 2002 - January 22, 2002
G1 EXECUTION SERVICES, LLC
July 31, 1999 - December 4, 2001
BLUE CHIP TRADING L.L.C.
June 29, 1999 - July 29, 1999
E*TRADE CAPITAL MARKETS - EXECUTION SERVICES LLC
March 5, 1996 - October 9, 1997
TRADETECH SECURITIES L.P.
January 31, 1995 - March 5, 1996
REPUBLIC SECURITIES, INC.
Primary Firm SEC Registration
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
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
Series 7TO
Date: 12/30/2022
General Securities Representative ExaminationSeries 55
Date: 9/26/2006
Limited Representative-Equity Trader ExamSeries 11
Date: 1/30/1995
Assistant Representative-Order Processing Qualification ExamCurrent Firm
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| FINN, JED | DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5658048 |
| FLETCHER, PATRICIA KAY | TEXAS DESIGNATED PRINCIPAL | 1202060 |
| GALASSO, DAVID ANTHONY | PRINCIPAL OPERATIONS OFFICER | 1926502 |
| GIVENS, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER (BD ONLY) | 2790454 |
| HANSEN, TIMOTHY GERARD | CHIEF COMPLIANCE OFFICER (IA ONLY ) | 4956475 |
| HENNESSY, MICHAEL S | DIRECTOR | 1988660 |
| JANOVER, JAMES TROY | DIRECTOR | 2818307 |
| TURNER, CHAD EDWARD | DIRECTOR | 6009808 |
Regulatory assets under management
| Total Number of Accounts | 2,539,760 |
| AUM (Assets Under Management) | $ 1,650,015,946,338 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 115 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2025 | ||
| 07/23/2024 | ||
| 08/24/2023 |
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.
