JB
Joseph D. Battaglini
KESTRA ADVISORY SERVICES
Berwyn, PA 19312
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CRD#: 3216278
JB
Professional summary
Joseph David Battaglini, CFP®, who also goes by Joe Battaglini, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Berwyn, Pennsylvania and KESTRA INVESTMENT SERVICES, LLC located in Berwyn, Pennsylvania.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Joseph has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joe Battaglini
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.
BATTAGLINI & CO POSITION: CEO NATURE: Tax/Accounting/CPA INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 06/30/1993ADDRESS: 1049 Lancaster Ave, Rear 1st F, Berwyn PA 19312, United States DESCRIPTION: As CEO, I manage the office of other tax and investment professionals and guide them in normal business practices and handling of client engagments. AKCREP, LP POSITION: General Partner NATURE: Real Estate INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 06/30/2007 ADDRESS: 1049 Lancaster Ave, Rear 1st F, Berwyn PA 19312, United States DESCRIPTION: Collection of rents Payment of bills Maintaining the property JOSEPH D. BATTAGLINI CPA POSITION: CEO NATURE: Tax/Accounting/CPA INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 12/01/1989 ADDRESS: 1049 Lancaster Ave, Rear 1st F, Berwyn PA 19312, United States DESCRIPTION: Meeting with clients Tax preparation and review IRS Examination representation KESTRA ADVOSORY SERVICES LLC POSITION: Investment Advisor NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 65 START DATE: 01/13/2023 ADDRESS: 5707 Southwest Parkway, BLDG2 Suite 400, Austin TX 78735, United States DESCRIPTION: All investment advice for clients
CRS (Client Relationship Summary) - RIA
Click below to view Joseph David Battaglini'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®
Experience
Current
January 17, 2023 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 1049 Lancaster Ave Fl 1, Berwyn, PA 19312RIA
CRD#: 283330
Berwyn, PA
Current
January 17, 2023 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 1049 Lancaster Ave Fl 1, Berwyn, PA 19312BD
CRD#: 42046
Berwyn, PA
Past
December 17, 2012 - January 18, 2023
PRIVATE ADVISOR GROUP, LLC
RIA
CRD#: 155216
BERWYN, PA
Past
December 14, 2012 - February 6, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
BERWYN, PA
Past
November 6, 2000 - January 4, 2013
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
STRAFFORD, PA
Past
July 7, 1999 - January 4, 2013
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
BERWYN, PA
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 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.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(1/17/2023)
RR
Connecticut(1/17/2023)
RR
Delaware(1/17/2023)
RR
Florida(1/17/2023)
RR
Georgia(1/17/2023)
RR
Illinois(1/17/2023)
RR
Iowa(1/17/2023)
RR
Maryland(1/17/2023)
RR
New Hampshire(1/17/2023)
RR
New Jersey(1/17/2023)
RR
New York(1/17/2023)
RR
North Carolina(7/11/2024)
RR
Ohio(1/17/2023)
RR
Pennsylvania(1/17/2023)
IAR
Pennsylvania(1/17/2023)
RR
South Carolina(1/17/2023)
RR
Virginia(1/17/2023)
RR
Wisconsin(1/17/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330Berwyn, PA 19312TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
