Michael A. Battalini
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.
Michael A Battalini, who also goes by Michael Adam Battalini, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1999. Michael had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 31 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 22, 2022 - April 17, 2023
WORLD CAPITAL BROKERAGE, INC.
February 21, 2017 - December 19, 2022
REALTA EQUITIES, INC.
July 21, 2016 - February 15, 2017
PROSPERA FINANCIAL SERVICES, INC.
November 15, 2005 - December 31, 2008
FERRIS, BAKER WATTS, LLC
February 12, 2004 - December 8, 2005
ADVEST, INC.
May 24, 2000 - April 4, 2002
MORGAN STANLEY DW INC.
August 23, 1999 - May 26, 2000
HEFREN-TILLOTSON, INC.
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
WORLD CAPITAL BROKERAGE, INC.
CRD#: 37 / SEC#: , 8-6805
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
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.
