Thomas A. Battaglia

MAREX CAPITAL MARKETS

Red Bank, NJ 07701

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CRD#: 2525612

Professional summary

Thomas Angelo Battaglia, who also goes by Thomas Angelo Battaglia II, Thomas Battaglia Ii, is a registered financial professional currently at MAREX CAPITAL MARKETS INC. located in Red Bank, New Jersey and X-CHANGE FINANCIAL ACCESS, LLC located in Chicago, Illinois.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1994. Thomas has worked at 13 firms and has passed the Series 99TO, SIE and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Thomas Angelo Battaglia Ii | Thomas Battaglia Ii

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 Thomas Angelo 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®

None

Experience

Current

September 2, 2015 - Present

MAREX CAPITAL MARKETS INC.

Office #1: 322 Nj-35 2nd Floor, Red Bank, NJ 07701

CRD#: 161014

Red Bank, NJ

Current

May 19, 2023 - Present

X-CHANGE FINANCIAL ACCESS, LLC

Office #1: 222 W Adams Street Suite 450, Chicago, IL 60606

CRD#: 11148

NEW YORK, NY

Past

August 10, 1994 - September 7, 1995

LEHMAN GOVERNMENT SECURITIES INC.

CRD#: 19655

Past

August 10, 1994 - September 7, 1995

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 1/2/2023

Securities Industry Essentials Examination

Principal/Supervisory Exam

Series 27

Date: 8/24/2001

Financial and Operations Principal Examination

Current Firm

X-CHANGE FINANCIAL ACCESS, LLC

CRD#: 126201 / SEC#: , 8-65860

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

222 W Adams Street Suite 450, Chicago, IL 60606

Mailing Address

222 W Adams Street Suite 450, Chicago, IL 60606

Phone number

(312) 235-0320

Established

Illinois since 04/09/2001

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
MAREX NORTH AMERICA HOLDINGS INC	DIRECT PARENT
BATES, CHRISTOPHER	CFO/FINOP	5648556
GEYE, ANDREW J	CEO-SECURITIES DIVISION	6323003
KROPKE, PAUL STEVEN	CHIEF COMPLIANCE OFFICER	2572796
MEOLA, ANGELO	PRINCIPAL OPERATIONS OFFICER	4218349

Disclosures

Regulatory Event

Red Flags

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Advisor Monitoring

Firm Stability Insights

Thomas A. Battaglia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Angelo Battaglia's CRS (Customer Relationship Summary).

Certified licenses

Experience

X-CHANGE FINANCIAL ACCESS, LLC

MAREX NORTH AMERICA SECURITIES LLC

T3 TRADING GROUP, LLC

MINT BROKERS

ESPEED BROKERAGE, L.P.

MINT BROKERS

BGC FINANCIAL, L.P.

AQUA SECURITIES L.P.

CANTOR FITZGERALD & CO.

CITIGROUP GLOBAL MARKETS INC.

DEVELOPMENT CORPORATION FOR ISRAEL

LEHMAN GOVERNMENT SECURITIES INC.

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 99TO

Date: 1/2/2023

SIE

Date: 1/2/2023

Series 27

Date: 8/24/2001

Cboe C2 Exchange, Inc.

Cboe Exchange, Inc.

FINRA

MIAX Sapphire

Miami International Securities Exchange, LLC

NYSE American LLC

NYSE Arca, Inc.

Nasdaq ISE, LLC

Nasdaq PHLX LLC

Nasdaq Stock Market

Current Firm

X-CHANGE FINANCIAL ACCESS, LLC

Contact information

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

X-CHANGE FINANCIAL ACCESS, LLC

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