Michael A. Battaglia

CETERA INVESTMENT ADVISERS LLC

MT PLEASANT, SC 29464

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CRD#: 2853381

Professional summary

Michael Andrew Battaglia, who also goes by Michael Buttaglia, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Mt Pleasant, South Carolina and CETERA WEALTH SERVICES, LLC located in Mt Pleasant, South Carolina.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Michael has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael Buttaglia

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.

INDEPENDENT INSURANCE AGENT SELLING FIXED ANNUITIES, LIFE/ACCIDENT/HEALTH, LTC FROM PRIVATE RESIDENCE FOR 1HR/WK DURING SECURITIES TRADING & 0HRS/WKND & EVENINGS SINCE 5/2013

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Andrew Battaglia's CRS (Customer Relationship Summary).

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

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1037 Chuck Dawley Blvd Bldg E Ste 100, Mt Pleasant, SC 29464

RIA

CRD#: 105644

MT PLEASANT, SC

Current

September 3, 2013 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 1037 Chuck Dawley Blvd Bldg E Ste 100, Mt Pleasant, SC 29464

CRD#: 13572

Mt Pleasant, SC

Past

September 3, 2013 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

May 28, 2013 - September 3, 2013

WALNUT STREET SECURITIES, INC.

RIA

CRD#: 15840

MT PLEASANT, SC

Past

May 24, 2013 - September 3, 2013

WALNUT STREET SECURITIES, INC.

CRD#: 15840

MT PLEASANT, SC

Past

January 2, 2009 - May 29, 2013

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

MT. PLEASANT, SC

Past

May 9, 2006 - January 2, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

MT. PLEASANT, SC

Past

April 21, 2006 - May 29, 2013

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

MT. PLEASANT, SC

Past

January 2, 2002 - May 4, 2006

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

CHARLESTON, SC

Past

June 26, 1997 - May 4, 2006

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

CHARLESTON, SC

Past

May 8, 1997 - January 2, 2002

THE ROBINSON-HUMPHREY COMPANY, LLC

CRD#: 723

ATLANTA, GA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(9/3/2013)

New Jersey
(9/3/2013)

New York
(9/3/2013)

North Carolina
(9/3/2013)

South Carolina
(9/3/2013)

IAR

South Carolina
(6/29/2023)

Virginia
(9/3/2013)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/1/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/10/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/26/1997

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Firm Stability Insights

Michael A. Battaglia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Andrew Battaglia's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

WALNUT STREET SECURITIES, INC.

WALNUT STREET SECURITIES, INC.

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

THE ROBINSON-HUMPHREY COMPANY, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/1/1997

Series 63

Date: 4/10/1997

SIE

Date: 10/1/2018

Series 7

Date: 3/26/1997

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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