Elizabeth D. Battaglia
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Elizabeth Dye Battaglia, who also goes by Liza Battaglia, Elizabeth Ann Dye, Elizabeth Dye, was a registered financial professional .
Elizabeth is a previously registered financial professional and started their career in finance in 1998. Elizabeth had worked at 9 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 10, 2016 - August 9, 2017
ALLSTATE FINANCIAL SERVICES, LLC
June 15, 2015 - November 30, 2015
LPL FINANCIAL LLC
October 13, 2014 - May 29, 2015
SECURIAN FINANCIAL SERVICES, INC.
January 3, 2014 - September 3, 2014
FSC SECURITIES CORPORATION
February 3, 2010 - January 7, 2014
MSI FINANCIAL SERVICES, INC.
January 2, 2004 - May 29, 2009
SII INVESTMENTS, INC.
June 19, 2003 - December 31, 2003
DEMPSEY FINANCIAL NETWORK, INC.
April 22, 1999 - April 1, 2003
DEMPSEY FINANCIAL NETWORK, INC.
August 7, 1998 - April 22, 1999
ROBERT W. BAIRD & CO. INCORPORATED
August 7, 1998 - April 22, 1999
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| 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.
