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Detailed Report
Carmelo Anthony Battaglia
C.ANTHONY ANTHONY BATTAGLIA, CARMELO A BATTAGLIA MR, CARMELO A BATTAGLIA, CARMELO ANTHONY BATTAGLIA, TONY BATTAGLIA
CRD#: 2803141
IA
Investment Adviser
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Broker
WELLS FARGO ADVISORSCRD#: 19616 225 S. LAKE AVE
STE 700
PASADENA, CA 91101
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2009 - 2010 (1 year)2 FIRMS2010 - 2011 (<1 year)2 FIRMS2011 - 2013 (2 years)2 FIRMS2013 - 2013 (<1 year)2 FIRMS2013 - 2015 (1 year)2 FIRMS2015 - 2018 (2 years)2 FIRMS2018 - 2022 (4 years)2 FIRMS2022 - Present (3 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1999 - 2009 (9 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1996 - 1999 (3 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2004 - 2009 (4 years)IASALOMON SMITH BARNEY INC. (CRD# 7059)1999 - 2003 (3 years)
License(s)

State Registrations

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Arkansas 4/28/2022
B
Massachusetts 4/27/2022
B
California 4/26/2022
B
Utah 4/26/2022
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California 4/26/2022

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, 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
WELLS FARGO ADVISORS (CRD#:19616)
225 S. LAKE AVE STE 700, PASADENA, CA 91101
350 W COLORADO BLVD STE 390 [LC-RBO], PASADENA, CA 91105
Registered with this firm since 4/26/2022
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
225 S. LAKE AVE STE 700, PASADENA, CA 91101
350 W COLORADO BLVD STE 390 [LC-RBO], PASADENA, CA 91105
Registered with this firm since 4/26/2022
Previous Registration(s)
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IA
 02/12/2018 - 05/03/2022 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) SANTA BARBARA, CA
B
 02/12/2018 - 05/03/2022 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) SANTA BARBARA, CA
IA
 10/09/2015 - 02/08/2018 MORGAN STANLEY (CRD#:149777) VALENCIA, CA
B
 10/09/2015 - 02/08/2018 MORGAN STANLEY (CRD#:149777) VALENCIA, CA
IA
 11/06/2013 - 10/07/2015 J.P. MORGAN SECURITIES LLC (CRD#:79) WESTLAKE VILLAGE, CA
B
 11/06/2013 - 10/07/2015 J.P. MORGAN SECURITIES LLC (CRD#:79) WESTLAKE VILLAGE, CA
IA
 11/04/2013 - 11/14/2013 CROWELL WEEDON & CO. (CRD#:168622) ENCINO, CA
B
 11/04/2013 - 11/14/2013 CROWELL WEEDON & CO. (CRD#:168622) ENCINO, CA
IA
 03/21/2011 - 11/04/2013 CROWELL, WEEDON & CO. (CRD#:193) ENCINO, CA
B
 03/21/2011 - 11/04/2013 CROWELL, WEEDON & CO. (CRD#:193) ENCINO, CA
IA
 06/01/2010 - 03/21/2011 WELLS FARGO ADVISORS, LLC (CRD#:19616) RIVERSIDE, CA
B
 05/28/2010 - 03/21/2011 WELLS FARGO ADVISORS, LLC (CRD#:19616) RIVERSIDE, CA
IA
 06/01/2009 - 06/21/2010 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) CLARMONT, CA
B
 06/01/2009 - 06/21/2010 MORGAN STANLEY SMITH BARNEY (CRD#:149777) CLARMONT, CA
IA
 10/14/2004 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) CLARMONT, CA
B
 09/03/1999 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) CLARMONT, CA
IA
 09/16/1999 - 03/05/2003 SALOMON SMITH BARNEY INC. (CRD#:7059) CLARMONT, CA
B
 10/23/1996 - 10/21/1999 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
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.
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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.