Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carmelo? Claim Your ProfileCarmelo Battaglia is a financial advisor at Wells Fargo Clearing Services, LLC with over 25 years of experience in the industry. Carmelo Battaglia is registered with the Securities and Exchange Commission and the state of California. Carmelo Battaglia has also previously worked for Raymond James & Associates, Inc., Morgan Stanley, J.P. Morgan Securities LLC and Crowell Weedon & Co.. Carmelo Battaglia specializes in providing investment consulting services to institutional clients, financial planning, pension consulting, selection of other advisors, and portfolio management for businesses and individuals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
04/26/2022 - Present
Wells Fargo Clearing Services, LLC (PASADENA CA)
CA
02/12/2018 - 05/03/2022
RAYMOND JAMES & ASSOCIATES, INC. (SANTA BARBARA CA)
CA
10/09/2015 - 02/08/2018
MORGAN STANLEY (VALENCIA CA)
CA
11/06/2013 - 10/07/2015
J.P. MORGAN SECURITIES LLC (WESTLAKE VILLAGE CA)
CA
11/04/2013 - 11/14/2013
CROWELL WEEDON & CO. (ENCINO CA)
CA
03/21/2011 - 11/04/2013
CROWELL, WEEDON & CO. (ENCINO CA)
CA
05/28/2010 - 03/21/2011
WELLS FARGO ADVISORS, LLC (RIVERSIDE CA)
CA
06/01/2009 - 06/21/2010
MORGAN STANLEY SMITH BARNEY (CLARMONT CA)
CA
09/03/1999 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (CLARMONT CA)
NY
10/23/1996 - 10/21/1999
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 11/18/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/25/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/19/1999
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/19/1999
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/04/2019
Series 31 - Futures Managed Funds Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/27/2005
Series 3 - National Commodity Futures Examination
BC
Issued 10/22/1996
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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