Peter F. Battaglia
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.
Peter Francis Battaglia was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1996. Peter had worked at 9 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2016 - May 3, 2023
CELADON FINANCIAL GROUP LLC
October 5, 2011 - June 14, 2016
BUCKMAN, BUCKMAN & REID, INC.
April 8, 2010 - October 6, 2011
THE VERTICAL GROUP
March 2, 2007 - March 5, 2010
STERNE, AGEE & LEACH, INC.
December 21, 2005 - October 31, 2006
TRADITION SECURITIES AND DERIVATIVES LLC
April 1, 2004 - December 19, 2005
FULCRUM GLOBAL PARTNERS LLC
April 15, 2002 - April 14, 2004
BROKERAGEAMERICA, LLC
March 18, 2002 - April 15, 2002
BROKERAGEAMERICA, INC
August 7, 1996 - March 13, 2002
DEUTSCHE IXE, LLC
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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 6/21/1999
Limited Representative-Equity Trader ExamCurrent Firm
CELADON FINANCIAL GROUP LLC
CRD#: 36538 / SEC#: , 8-47288
Contact information
FINRA licenses (35 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HERSCH, DARYL SCOTT | CEO/MAJORITY MEMBER/GSP/ROSFP | 1255474 |
| CAMBRIA HOLDINGS, INC. | MINORITY MEMBER | |
| COSTINE, MELISSA ANNE | OPERATIONS MANAGER/GSP | 2646983 |
| NAVAS, NELSON GABRIEL | CFO/FINOP/GSP | 5092353 |
| PASTINE, ARMAND RALPH | HEAD OF CAPITAL MARKETS/GSP | 2257531 |
| WALDMAN, PAUL MITCHELL | CCO/AMLCO/GSP/ROSFP | 1885767 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 1 |
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.
