Michael G. Battaglia

RETIREMENT PLANNING SOLUTIONS

Evansville, IN 47708

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CRD#: 6483214

Professional summary

Michael George Battaglia II, who also goes by Mike Battaglia, is a registered financial advisor currently at RETIREMENT PLANNING SOLUTIONS, LLC located in Evansville, Indiana.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Michael has worked at 4 firms and has passed the Series 65 and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike Battaglia

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.

1) Michael Battaglia II; Investment-Related; 9366 Oak Grove Road Newburgh, IN 47630; Sole Proprietor; Insurance Agent; Start Date: 6/2013; 10 hours devoted monthly; 10 hours devoted monthly during trading hours; Provide Life Insurance and Annuity services to individuals

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael George Battaglia II'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

August 3, 2022 - Present

RETIREMENT PLANNING SOLUTIONS, LLC

Office #1: 915 Main St. Ste 006, Evansville, IN 47708

RIA

CRD#: 311575

Evansville, IN

Past

November 30, 2020 - January 6, 2023

LEGACY ADVISORY SERVICES

RIA

CRD#: 307478

Evansville, IN

Past

October 17, 2017 - November 6, 2020

AE WEALTH MANAGEMENT, LLC

RIA

CRD#: 282580

EVANSVILLE, IN

Past

April 23, 2015 - October 16, 2017

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

RIA

CRD#: 132070

LOUISVILLE, KY

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".

RETIREMENT PLANNING SOLUTIONS, LLC

CLOVER WEALTH PARTNERS | RPS ADVISORY SOLUTIONS, LLC | RETIREMENT PLANNING SOLUTIONS, LLC

CRD#: 311575 / SEC#: 801-119926

RIA

Registered Investment Advisory firm - (12/4/2020 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.

Highlighted states indicate IAR registrations

IAR

Indiana
(9/1/2023)

IAR

Kentucky
(8/3/2022)

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 65

Date: 2/18/2015

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 8/25/2020

Securities Industry Essentials Examination

Current Firm

RETIREMENT PLANNING SOLUTIONS, LLC

CLOVER WEALTH PARTNERS | RPS ADVISORY SOLUTIONS, LLC | RETIREMENT PLANNING SOLUTIONS, LLC

CRD#: 311575 / SEC#: 801-119926

RIA

Registered Investment Advisory firm - (12/4/2020 Approved)

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Contact information

Main Address

3432 Stony Spring Circle, Louisville, KY 40220

Mailing Address

Phone number

(502) 499-5668

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (19 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RETIREMENT PLANNING SOLUTIONS, LLC ADV PART 2A (6/4/2025)

RETIREMENT PLANNING SOLUTIONS, LLC ADV PART 2A, APPENDIX 1 - WRAP FEE PROGRAM (3/28/2025)

Regulatory assets under management

Total Number of Accounts	2,366
AUM (Assets Under Management)	$ 376,782,414

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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Michael G. Battaglia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

RETIREMENT PLANNING SOLUTIONS, LLC

LEGACY ADVISORY SERVICES

AE WEALTH MANAGEMENT, LLC

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

Primary Firm SEC Registration

RETIREMENT PLANNING SOLUTIONS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/18/2015

SIE

Date: 8/25/2020

Current Firm

RETIREMENT PLANNING SOLUTIONS, LLC

Contact information

SEC notice filing (19 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RETIREMENT PLANNING SOLUTIONS, LLC

TRUST BUT VERIFY

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