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7333 East Doubletree Ranch Rd, Suite 120, Scottsdale, AZ 85258 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2024-08-16 |
| TX | RA | APPROVED_RES | 2024-08-16 |
Branch Locations
7333 E Doubletree Ranch Rd Ste 120, Scottsdale, AZ 85258 • United States
Port Matilda, PA • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Assetmark Financial Holdings, Inc. | Chicago | IL | 09/2015 | 06/2022 |
| Assetmark Brokerage, Llc | Chicago | IL | 03/2016 | 06/2022 |
| Grove Point Investments Llc | Rockville | MD | 07/2022 | 08/2024 |
| Grove Point Advisors Llc | Rockville | MD | 07/2022 | 08/2024 |
| United Planners Financial Services | Scottsdale | AZ | 08/2024 | Present |
| Nicholas Thomas Battaglia | Port Matilda | PA | 05/2024 | Present |
1.) NICHOLAS THOMAS BATTAGLIA - AGENT - NON-VARIABLE INSURANCE - PORT MATILDA, PA - SINCE 05/2024 - INVESTMENT RELATED 2.) BATTAGLIA ASSOCIATES WEALTH ADVISORS - OWNER - DBA NAME FOR MARKETING PURPOSES ONLY - PORT MATILDA, PA - SINCE 07/2022 - INVESTMENT RELATED 3.) BATTAGLIA ASSOCIATES WEALTH ADVISORS, LLC - OWNER - ENTITY FOR TAX, PAYROLL, AND OTHER BUSINESS PURPOSES - PORT MATILDA, PA - SINCE 01/2025 - NOT INVESTMENT RELATED
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2016-08-13 |
| S65 | Uniform Investment Adviser Law Examination | 2015-11-06 |
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