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John Salvadore Battaglia

Northwestern Mutual Investment Services, LLC

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About John Salvadore Battaglia

John Battaglia is a financial advisor registered with Northwestern Mutual Investment Services, LLC. John has been in the financial services industry since August 17, 1983. John is currently registered in 14 states. John is also a registered principal with Northwestern Mutual Investment Services, LLC.

Firm Information

John Battaglia is currently registered with Northwestern Mutual Investment Services, LLC. Northwestern Mutual Investment Services, LLC is a Limited Liability Company formed in June 1998. Headquartered in Milwaukee, Wisconsin, the firm provides investment research and referrals to other advisors. They are registered with the SEC and in all 50 states. The firm has over 2,000 licensed agents, investment advisor representatives, and registered representatives.
Northwestern Mutual Investment Services, LLC

720 EAST WISCONSIN AVENUE

MILWAUKEE, WI 53202-4797

Not reported

Assets Under Management

1

Total Clients

10,224

Total Financial Advisors

Services Offered

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.

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investment research; referrals to other advisers

Investment research; referrals to other advisers

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Referral fees

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John Battaglia’s Registration & Firm History

LA

04/26/1999 - Present

Northwestern Mutual Investment Services, LLC (Baton Rouge LA)

WI

04/26/1999 - 01/01/2002

ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)

WI

06/13/1997 - 04/15/1999

ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)

WI

08/08/1983 - 04/15/1999

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (MILWAUKEE WI)

WI

05/03/1989 - 12/31/1990

ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)

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Licenses & Designations

BOTH

Issued 12/21/2005

Series 66 - Uniform Combined State Law Examination

BC

Issued 04/23/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/18/1997

Series 12 - NYSE Branch Manager Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/28/2000

Series 7 - General Securities Representative Examination

BC

Issued 08/05/1983

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for John Salvadore Battaglia.
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