Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dante? Claim Your ProfileDante Battaglia is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., and has been in the industry since 1996. Dante is registered with FINRA and holds Series 7, 9, 10, 26, 63 and 65 licenses. Dante has experience working at HSBC Securities (USA) Inc., HSBC Brokerage (USA) Inc., H&R Block Financial Advisors, Inc., and M&T Securities, Inc.. Dante specializes in Retirement Planning, College Savings Plans, Estate Planning, Asset Management, and Insurance. Dante is also the owner of Dolce Giaveno Real Estate LLC.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
NY
02/26/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (WILLIAMSVILLE NY)
NY
01/01/2005 - 10/12/2011
HSBC SECURITIES (USA) INC. (WILLIAMSVILLE NY)
NY
04/05/2002 - 01/01/2005
HSBC BROKERAGE (USA) INC. (NEW YORK NY)
MI
11/05/2001 - 04/01/2002
H&R BLOCK FINANCIAL ADVISORS, INC. (DETROIT MI)
MD
04/04/1996 - 10/22/2001
M&T SECURITIES, INC. (BALTIMORE MD)
IA
Issued 02/23/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/05/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/20/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/08/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/29/2002
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/03/1996
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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