Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Battaglia is a financial advisor associated with Merrill Lynch, Pierce, Fenner & Smith Inc. Mark has been in the industry since January 1987 and is registered to offer securities and investment advisory services in multiple states. Mark has earned several professional licenses including Series 3, 7, 9, 10, 31, 63, and 66. Mark offers a range of services, including portfolio management, investment advisory, and other services such as performance measurement reports, allocation modeling, IPS, research reports, and services.
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
PA
01/23/2001 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (UPPER SAINT CLAIR PA)
NY
02/14/1992 - 01/12/2001
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
01/21/1987 - 02/19/1992
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BOTH
Issued 02/16/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/27/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/06/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/19/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/21/2013
Series 31 - Futures Managed Funds Examination
BC
Issued 06/27/1990
Series 3 - National Commodity Futures Examination
BC
Issued 01/17/1987
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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