Thomas J. Battista
Professional summary
Thomas John Battista was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Thomas John Battista, who also goes by Thomas J Battista, was a registered financial advisor .
Thomas is a previously registered financial advisor and started their career in finance in 1994. Thomas had worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 14, 2011 - May 3, 2012
BISHOP, ROSEN & CO., INC.
November 4, 2009 - December 20, 2010
INVESTORS CAPITAL CORP.
May 30, 2003 - December 1, 2009
CANTELLA & CO., INC.
May 17, 2002 - December 1, 2009
CANTELLA & CO., INC.
October 10, 1994 - May 31, 2002
NATHAN & LEWIS SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BISHOP, ROSEN & CO., INC.
CRD#: 1248 / SEC#: , 8-12140
Contact information
Disclosures
| Regulatory Event | 15 |
| Arbitration | 1 |
| Bond | 1 |
Red Flags
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