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Current Employers
Raymond James Financial Services Advisors, Inc

880 Carillon Parkway, Saint Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2018-12-06
AR RA APPROVED 2009-01-02
  • TX RA
    APPROVED_RES
    Since 2018-12-06
  • AR RA
    APPROVED
    Since 2009-01-02

Branch Locations

303 N Main Street Suite 106, Harrison, AR 72601 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Raymond James Financial Services Inc. Harrison AR 01/2006 Present
Raymond James Financial Services Advisors, Inc Harrison AR 01/2009 Present
Other Businesses

(1)Name of Business: DNB Real Estate Address: 2310 N Malcolm Ln, Fayetevilee, AR, 72701, United States Activity Type: Rental Real Estate Position/Title: Officer - Treasurer Investment Related: Yes Start Date: 08/10/2020 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Buying rental properties (2) Name of Business: Battisto Wealth Management Address: 203 N Walnut St Ste B, Harrison, AR, 72601, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 05/01/2014 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Owner of LLC and Investment Advisor

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-05-17
S63 Uniform Securities Agent State Law Examination 1987-04-01
  • S65 Uniform Investment Adviser Law Examination
    2006-05-17
  • S63 Uniform Securities Agent State Law Examination
    1987-04-01
Other Names
  • David Glen Battisto

View on SEC IAPD

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