JB
John Battista
CITIZENS SECURITIES
North Wales, PA 19454
Some features on this profile are disabled
CRD#: 3212308
JB
Professional summary
John Battista is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in North Wales, Pennsylvania.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. John has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
Irrevocable trust - Trustee for parents trust.
CRS (Client Relationship Summary) - RIA
Click below to view John Battista's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Battista's 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®
NoneExperience
Current
October 3, 2019 - Present
CITIZENS SECURITIES, INC.
Office #1: 273 Dekalb Pike Mailstop: 19b-6758, North Wales, PA 19454Office #2: 8250 Old York Rd Mailstop: 19b-0228, Elkins Park, PA 19027Office #3: 1501 North Broad St (suite 1) Mailstop: 19b-0109, Philadelphia, PA 19121Office #4: 6500 Tabor Road Ms: 19b-6702, Philadelphia, PA 19111Office #5: 7435 Front St Mailstop: Pa551, Cheltenham, PA 19012RIA
BD
CRD#: 39550
North Wales, PA
Current
October 3, 2019 - Present
CITIZENS SECURITIES, INC.
Office #1: 273 Dekalb Pike Mailstop: 19b-6758, North Wales, PA 19454Office #2: 8250 Old York Rd Mailstop: 19b-0228, Elkins Park, PA 19027Office #3: 1501 North Broad St (suite 1) Mailstop: 19b-0109, Philadelphia, PA 19121Office #4: 6500 Tabor Road Ms: 19b-6702, Philadelphia, PA 19111Office #5: 7435 Front St Mailstop: Pa551, Cheltenham, PA 19012RIA
BD
CRD#: 39550
North Wales, PA
Past
March 5, 2010 - September 27, 2019
MORGAN STANLEY
RIA
CRD#: 149777
WILKES BARRE, PA
Past
June 1, 2009 - September 27, 2019
MORGAN STANLEY
BD
CRD#: 149777
WILKES BARRE, PA
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
WILKES BARRE, PA
Past
March 22, 2004 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
SCRANTON, PA
Past
July 1, 2003 - March 22, 2004
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
August 30, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
April 19, 1999 - July 25, 2000
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
BD
CRD#: 18353
NEWARK, NJ
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".
CS
CITIZENS SECURITIES, INC.
CCO INVESTMENT SERVICES CORP. | CITIZENS WEALTH MANAGEMENT | CITIZENS SECURITIES, INC. | CITIZENS PRIVATE WEALTH | CITIZENS PRIVATE CLIENT | CITIZENS INVESTMENT SERVICES CORP. | CITIZENS INVESTMENT SERVICES | CITIZENS INVESTMENT SECURITIES, INC. | CITIZENS FINANCIAL SERVICES INC. | CHARTER ONE INVESTMENT SERVICES
CRD#: 39550 / SEC#: 801-61902, 8-48744
RIA
Registered Investment Advisory firm - SEC (3/27/2003 Approved)Connecticut
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Florida
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Maine
Registered Investment Advisory firm - SEC (4/14/2003 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)New York
Registered Investment Advisory firm - SEC (3/31/2002 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (5/8/2003 Terminated)Vermont
Registered Investment Advisory firm - SEC (4/28/2003 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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.RR
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
RR
California(6/14/2021)
IAR
California(1/8/2024)
RR
Connecticut(10/11/2023)
IAR
Connecticut(10/11/2023)
RR
Delaware(3/11/2021)
IAR
Delaware(6/4/2024)
RR
Florida(11/30/2021)
IAR
Florida(12/1/2021)
RR
New Jersey(12/6/2019)
IAR
New Jersey(12/10/2019)
RR
New York(1/2/2020)
IAR
New York(4/8/2021)
RR
Pennsylvania(10/3/2019)
IAR
Pennsylvania(10/3/2019)
RR
Virginia(6/14/2022)
IAR
Virginia(6/14/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CS
CITIZENS SECURITIES, INC.
CCO INVESTMENT SERVICES CORP. | CITIZENS WEALTH MANAGEMENT | CITIZENS SECURITIES, INC. | CITIZENS PRIVATE WEALTH | CITIZENS PRIVATE CLIENT | CITIZENS INVESTMENT SERVICES CORP. | CITIZENS INVESTMENT SERVICES | CITIZENS INVESTMENT SECURITIES, INC. | CITIZENS FINANCIAL SERVICES INC. | CHARTER ONE INVESTMENT SERVICES
CRD#: 39550 / SEC#: 801-61902, 8-48744
RIA
Registered Investment Advisory firm - SEC (3/27/2003 Approved)Connecticut
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Florida
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Maine
Registered Investment Advisory firm - SEC (4/14/2003 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)New York
Registered Investment Advisory firm - SEC (3/31/2002 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (5/8/2003 Terminated)Vermont
Registered Investment Advisory firm - SEC (4/28/2003 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
One Citizens Bank Way Jcb135, Johnston, RI 02043
Mailing Address
200 Station Drive Mws414, Westwood, MA 02090
Phone number
(781) 364-1641
Established
Rhode Island since 09/21/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
418
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 53,044 |
| AUM (Assets Under Management) | $ 9,188,004,183 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 6 |
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.
