Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Vincent? Claim Your ProfileVincent Battaglia is a financial advisor who has been in the industry since 1983. He is currently registered with UBS Financial Services Inc. and holds multiple securities licenses including Series 7, 9, 10, 24, 63, and 65. Vincent is also a registered Investment Advisor in California, New York and Texas. Prior to UBS, Vincent worked at McDonald Investments Inc. and Essex Capital Markets, Inc. Vincent Battaglia specializes in providing a variety of financial services to individuals, businesses, and institutions.
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.
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.
See schedule d - miscellaneous
1
2
NY
12/05/2013 - Present
UBS Financial Services Inc. (ROCHESTER NY)
NY
09/04/1998 - 02/09/2007
MCDONALD INVESTMENTS INC. (ROCHESTER NY)
NY
06/03/1993 - 09/04/1998
ESSEX CAPITAL MARKETS, INC. (ROCHESTER NY)
NJ
11/08/1991 - 04/16/1993
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
09/22/1983 - 11/08/1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 03/05/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/03/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/02/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 06/12/1996
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/12/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 09/17/1983
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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