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JB

James G. Battistella

ALLSTATE FINANCIAL SERVICES
Batavia, NY 14020-2829
Some features on this profile are disabled
CRD#: 2517306
JB

Professional summary

James Gerard Battistella, who also goes by James Gerard Battistella Sr, Jim Battistella, is a registered financial professional currently at ALLSTATE FINANCIAL SERVICES, LLC located in Batavia, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 1994. James has worked at 5 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James Gerard Battistella Sr | Jim Battistella

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Gerard Battistella's CRS (Customer Relationship Summary).
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®
None

Experience

Current

January 16, 2007 - Present

ALLSTATE FINANCIAL SERVICES, LLC

Office #1: 590 East Main St, Batavia, NY 14020-2829
BD
CRD#: 18272
Batavia, NY
Past

August 2, 2002 - November 6, 2006

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
WILLIAMSVILLE, NY
Past

August 2, 2002 - November 6, 2006

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
WILLIAMSVILLE, NY
Past

December 11, 1998 - August 9, 2002

AMERICAN GENERAL EQUITY SERVICES CORPORATION

BD
CRD#: 5435
HOUSTON, TX
Past

August 31, 1994 - October 12, 1998

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
(2/9/2015)
RR
Florida
(1/31/2022)
RR
Georgia
(1/11/2024)
RR
New York
(1/17/2007)
RR
North Carolina
(7/10/2023)
RR
South Carolina
(1/3/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 8/30/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 8/30/1994
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 2/5/2002
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AF
ALLSTATE FINANCIAL SERVICES, LLC
ALLSTATE FINANCIAL SERVICES, LLC | LSA SECURITIES, INC. | LAUGHLIN GROUP ADVISORS, INC. | ALLSTATE FINANCIAL SERVICES, LLC OF DELAWARE | ALLSTATE FINANCIAL SERVICES, LLC D/B/A LSA SECURITIES

CRD#: 18272 / SEC#: , 8-36365

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
151 N 8th Street, Suite 450, Lincoln, NE 68508-1380
Mailing Address
Po Box 83271, Lincoln, NE 68501-3271
Phone number
(877) 232-2142
Established
Delaware since 11/01/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ALLSTATE INSURANCE COMPANYOWNER
BOUDREAU, JOHN DOUGLASCHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE6357880
DELANEY, SCOTT SULLIVANPRESIDENT AND CHIEF EXECUTIVE OFFICER2978681
LANSPA, PAUL DONALDCHIEF OPERATING OFFICER6449159
MUELLER, DAVID JOHNGENERAL COUNSEL AND SECRETARY7807045
NELSON, MARY KRISCHAIRMAN OF THE BOARD2464654
SWEENEY, MICHAEL DANIELAML OFFICER2026113
WHITCOMB, MICHAEL JAMESFINOP7495756

Disclosures

Regulatory Event4
Arbitration1

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.

Company Information

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272Batavia, NY 14020-2829

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