Thomas John Battista
Professional Summary
Thomas John Battista, who also goes by Thomas J Battista, was a registered financial advisor. Thomas was a previously registered financial advisor and started their career in finance 1994 - 2012. Thomas had worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Thomas J Battista
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
32 years registered in the securities industry
Current & Past Employments
Past
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Current Firm
BISHOP, ROSEN & CO., INC.
Contact Information
Established
New York since 08/18/1964Firm Type
Other Types of Legal FormationFiscal Year End
DecemberDocuments
Direct owners and executive officers
Disclosures
Regulatory Event
15Arbitration
1Bond
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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