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Detailed Report
MARK GREGORY BATTISTA
CRD#: 1707797
IA
Investment Adviser
B
Broker
RAYMOND JAMES & ASSOCIATES, INC.CRD#: 705 9825 Kenwood Road, Suite 103
Blue Ash, OH 45242
Registration History
199019952000200520102015202020252 FIRMS2006 - 2007 (1 year)2 FIRMS2007 - Present (17 years)BLEGG MASON WOOD WALKER, INCORP... (CRD# 6555)1996 - 2006 (10 years)BSMITH BARNEY INC. (CRD# 7059)1993 - 1996 (2 years)BLEHMAN BROTHERS INC. (CRD# 7506)1988 - 1993 (5 years)BTHE STUART-JAMES COMPANY, INC. (CRD# 11691)1987 - 1988 (<1 year)IALEGG MASON WOOD WALKER INC (CRD# 6555)1999 - 2006 (6 years)
License(s)

State Registrations

B
Alabama 7/16/2019
B
Minnesota 7/14/2021
B
Florida 6/1/2007
B
Ohio 6/1/2007
B
Hawaii 4/13/2023
IA
Ohio 6/7/2007
B
Illinois 6/1/2007
B
South Dakota 1/21/2020
B
Indiana 6/1/2007
B
Tennessee 7/21/2022
B
Kentucky 6/1/2007
B
Virginia 11/25/2022

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
9825 Kenwood Road, Suite 103, Blue Ash, OH 45242
Registered with this firm since 6/7/2007
B
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
9825 Kenwood Road, Suite 103, Blue Ash, OH 45242
Registered with this firm since 6/1/2007
Previous Registration(s)
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IA
 02/21/2006 - 06/14/2007 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) CINCINNATI, OH
B
 02/21/2006 - 06/14/2007 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) CINCINNATI, OH
IA
 11/26/1999 - 02/21/2006 LEGG MASON WOOD WALKER INC (CRD#:6555) KENWOOD, OH
B
 02/27/1996 - 02/21/2006 LEGG MASON WOOD WALKER, INCORPORATED (CRD#:6555) BALTIMORE, MD
B
 07/31/1993 - 02/29/1996 SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
 01/06/1988 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
 07/22/1987 - 01/12/1988 THE STUART-JAMES COMPANY, INC. (CRD#:11691)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.