Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn S. Battaglia is a financial advisor with over 30 years of experience in the financial services industry. John is currently registered with United Planners' Financial Services of America A Limited Partner and has previously worked with several other firms, including Grove Point Investments, LLC, AssetMark Brokerage, LLC, Hazard & Siegel, Inc., Aris Securities Company, and PNC Securities Corp. John holds several professional licenses and designations, including Series 6, 7, 24, 27, and 66, and is currently registered in several states, including Arizona, California, Florida, Georgia, Illinois, Indiana, Minnesota, Nevada, North Carolina, Pennsylvania, South Carolina, Texas, Utah, Washington, and West Virginia. John's primary practice areas include financial planning, portfolio management, and retirement planning. John specializes in working with individuals, corporations, and charitable organizations.
7333 EAST DOUBLETREE RANCH RD, SUITE 120
SCOTTSDALE, AZ 85258
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.
Personalized portfolio management to meet individual financial objectives.
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
PA
08/16/2024 - Present
United Planners' Financial Services OF America A Limited Partner (PORT MATILDA PA)
PA
01/03/2017 - 08/21/2024
GROVE POINT INVESTMENTS, LLC (Port Matilda PA)
CA
04/11/2016 - 01/04/2017
ASSETMARK BROKERAGE, LLC (CONCORD CA)
NY
03/31/2008 - 12/14/2009
HAZARD & SIEGEL, INC. (DEWITT NY)
OH
09/06/2000 - 06/10/2005
ARIS SECURITIES COMPANY (MAYFIELD HEIGHTS OH)
PA
12/23/1994 - 03/11/1997
PNC BROKERAGE CORP (PITTSBURGH PA)
PA
11/02/1988 - 12/23/1994
PNC SECURITIES CORP (PITTSBURGH PA)
BC
Issued 04/26/2016
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 03/13/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/31/2001
Series 24 - General Securities Principal Examination
BC
Issued 10/31/1988
Series 27 - Financial and Operations Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/09/2016
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 09/05/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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