Robert G. Battista

VESTMARK ADVISORY SOLUTIONS

Malvern, PA

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CRD#: 4927631

Professional summary

Robert Guido Battista is a registered financial advisor currently at VESTMARK ADVISORY SOLUTIONS, INC. located in Malvern, Pennsylvania.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Robert has worked at 8 firms and has passed the Series 66, SIE, Series 31 and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Guido Battista'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

July 26, 2023 - Present

VESTMARK ADVISORY SOLUTIONS, INC.

RIA

CRD#: 221518

Malvern, PA

Past

October 15, 2014 - May 3, 2022

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

PHILADELPHIA, PA

Past

September 29, 2014 - May 3, 2022

JANNEY MONTGOMERY SCOTT LLC

RIA

CRD#: 463

PHILADELPHIA, PA

Past

February 29, 2012 - May 13, 2013

JANNEY MONTGOMERY SCOTT LLC

RIA

CRD#: 463

PHILADELPHIA, PA

Past

February 29, 2012 - May 13, 2013

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

PHILADELPHIA, PA

Past

December 16, 2010 - March 8, 2012

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

WILMINGTON, DE

Past

December 16, 2010 - March 8, 2012

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

April 6, 2010 - August 5, 2010

PERSHING LLC

CRD#: 7560

MALVERN, PA

Past

January 15, 2009 - August 5, 2010

BNY ADVISORS

RIA

CRD#: 106108

MALVERN, PA

Past

March 14, 2008 - April 5, 2010

LOCKWOOD FINANCIAL SERVICES, INC.

RIA

CRD#: 40655

MALVERN, PA

Past

March 13, 2008 - April 1, 2010

BNY MELLON SECURITIES CORPORATION

CRD#: 231

MALVERN, PA

Past

February 5, 2007 - March 14, 2008

BNY ADVISORS

RIA

CRD#: 106108

MALVERN, PA

Past

February 5, 2007 - March 14, 2008

PERSHING LLC

CRD#: 7560

MALVERN, PA

Past

September 21, 2005 - February 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

VOORHEES, NJ

Past

September 2, 2005 - February 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

VOORHEES, 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".

VESTMARK ADVISORY SOLUTIONS, INC.

VESTMARK ADVISORY SOLUTIONS, INC. | VESTMARK MANAGER MARKETPLACE

CRD#: 221518 / SEC#: 801-114077

RIA

Registered Investment Advisory firm - (9/28/2018 Approved)

District of Columbia

Registered Investment Advisory firm - (10/3/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(7/26/2023)

IAR

Pennsylvania
(5/8/2024)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/20/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 9/27/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 9/1/2005

General Securities Representative Examination

Current Firm

VESTMARK ADVISORY SOLUTIONS, INC.

VESTMARK ADVISORY SOLUTIONS, INC. | VESTMARK MANAGER MARKETPLACE

CRD#: 221518 / SEC#: 801-114077

RIA

Registered Investment Advisory firm - (9/28/2018 Approved)

District of Columbia

Registered Investment Advisory firm - (10/3/2018 Terminated)

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Contact information

Main Address

100 Quannapowitt Pkwy Suite 205, Wakefield, MA 01880

Mailing Address

Phone number

(888) 355-0477

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VESTMARK ADVISORY SOLUTIONS FORM ADV PART 2A DISCLOSURE BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	32,047
AUM (Assets Under Management)	$ 10,019,300,000

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

Robert G. Battista

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Guido Battista's CRS (Customer Relationship Summary).

Certified licenses

Experience

JANNEY MONTGOMERY SCOTT LLC

JANNEY MONTGOMERY SCOTT LLC

JANNEY MONTGOMERY SCOTT LLC

JANNEY MONTGOMERY SCOTT LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

PERSHING LLC

BNY ADVISORS

LOCKWOOD FINANCIAL SERVICES, INC.

BNY MELLON SECURITIES CORPORATION

BNY ADVISORS

PERSHING LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

VESTMARK ADVISORY SOLUTIONS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/20/2005

SIE

Date: 10/1/2018

Series 31

Date: 9/27/2005

Series 7

Date: 9/1/2005

Current Firm

VESTMARK ADVISORY SOLUTIONS, INC.

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VESTMARK ADVISORY SOLUTIONS, INC.

TRUST BUT VERIFY

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