Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Julia? Claim Your ProfileJulia Battaglia is a registered investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc., where she has been working since December 2011. Julia has worked in the industry since April 1999. She is registered in several states and has obtained a Series 63, 65, and 7. Julia has experience working with clients such as individuals, high-net-worth individuals, corporations, insurance companies, pension plans, and charitable organizations.
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
07/19/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (GARDEN CITY NY)
NY
06/01/2009 - 12/20/2011
MORGAN STANLEY SMITH BARNEY (GARDEN CITY NY)
NY
04/23/1999 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (GARDEN CITY NY)
IA
Issued 12/28/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/27/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/22/1999
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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