Anthony Battista
Professional summary
Anthony Battista, CFP®, who also goes by Tony Battista, is a registered financial professional currently at VANDERBILT SECURITIES, LLC located in Woodbury, New York.
Anthony is registered as a RR (Registered Representative) and started their career in finance in 1995. Anthony has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Anthony Battista's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2002
Experience
July 10, 2009 - Present
VANDERBILT SECURITIES, LLC
Office #1: 125 Froehlich Farm Blvd., Woodbury, NY 11797November 1, 2016 - December 31, 2021
VANDERBILT ADVISORY SERVICES
November 7, 1995 - July 14, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/3/2024)
(9/16/2009)
(7/10/2009)
(11/1/2024)
(7/10/2009)
(7/10/2009)
(7/10/2009)
(6/22/2020)
(1/16/2024)
(7/10/2009)
Exams
FINRA
Current Firm
VANDERBILT SECURITIES, LLC
CRD#: 5953 / SEC#: , 8-16712
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VANDERBILT CAPITAL, LLC | SOLE OWNER | |
| ANTENOR, JR, DANIEL | CHIEF OPERATIONS OFFICER/OPTIONS/MUNI | 5839052 |
| DISTANTE, STEPHEN ALFRED | CEO - LIMITED PARTNER | 2206574 |
| PLAPP, MEGAN LYNN | FINOP, POO, PFO, CFO | 6790596 |
| THOMAS, MICHELLE DENISE | CHIEF COMPLIANCE OFFICER | 2210435 |
| TRIFILETTI, JOSEPH JOHN | PRESIDENT | 5295897 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
