Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Battista is a financial advisor at Raymond James & Associates, Inc. in Blue Ash, Ohio. Mark has been in the financial services industry since 1987. Mark is registered with FINRA and the state of Ohio. Mark holds Series 3, 7, 63 and 65 licenses and the SIE. The firm provides financial planning and portfolio management 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.
Comprehensive financial plans to help you achieve your personal and business 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.
Please see note in schedule d - miscellaneous
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
OH
06/07/2007 - Present
Raymond James & Associates, Inc. (Blue Ash OH)
OH
02/21/2006 - 06/14/2007
CITIGROUP GLOBAL MARKETS INC. (CINCINNATI OH)
MD
02/27/1996 - 02/21/2006
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
NY
07/31/1993 - 02/29/1996
SMITH BARNEY INC. (NEW YORK NY)
NY
01/06/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
07/22/1987 - 01/12/1988
THE STUART-JAMES COMPANY, INC.
IA
Issued 07/27/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/17/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/22/1988
Series 3 - National Commodity Futures Examination
BC
Issued 07/18/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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