Career
Robert Battista has been Senior Vice President/Managing Director of Vestmark Advisory Solutions since April 2022. Robert Battista is a control person of the firm and directly owns under 5% of it. Robert Battista holds a Master of Finance degree from Penn State University and a BS in Business Administration from Elon University.
Vestmark Advisory Solutions, Inc. is a Wakefield, MA firm with $49.9B under management, 84,069 clients and 25 advisers in one office, as of its March 2026 filing.
Vestmark’s leadership profile describes Rob Battista as executive vice president of advisory solutions. It says he joined the company in 2022 after leading advisory solutions at Janney Montgomery Scott.
- – present · 3 yearsMalvern, PA · Adviser representative · Firm CRD 221518
- Janney Montgomery Scott LLC– · 7 yearsPhiladelphia, PA · Adviser representative · Firm CRD 463
- Janney Montgomery Scott LLC– · 1 yearPhiladelphia, PA · Adviser representative · Firm CRD 463
- Citigroup Global Markets Inc.– · 1 yearWilmington, DE · Adviser representative · Firm CRD 7059
- Lockwood Advisors Inc– · 1 yearMalvern, PA · Adviser representative · Firm CRD 106108
- Lockwood Capital Management, Inc– · 2 yearsMalvern, PA · Adviser representative · Firm CRD 40655
- Lockwood Advisors Inc– · 1 yearMalvern, PA · Adviser representative · Firm CRD 106108
- Morgan Stanley– · 1 yearVoorhees, NJ · Adviser representative · Firm CRD 7556
Credentials and registrations
Investment adviser representative registrations
| State | Status | Since |
|---|---|---|
| Massachusetts | Approved | 26 July 2023 |
| Pennsylvania | Approved | 8 May 2024 |
- Status
- Approved
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 31 | Futures Managed Funds Examination | 27 September 2005 |
| Series 66 | Uniform Combined State Law Examination | 20 September 2005 |
| Series 7 | General Securities Representative Examination | 1 September 2005 |
- Name
- Securities Industry Essentials Examination
- Name
- Futures Managed Funds Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Robert Guido Battista
- CRD
- 4927631
- Office
- Malvern, PA
- Firm bio
- vestmark.com
Disciplinary history is not reported here, in either direction. Check the SEC record.
Common questions
Where does Robert Battista work?
Robert Battista has been Senior Vice President/Managing Director of Vestmark Advisory Solutions, Inc. since April 2022, and is a control person of the firm.
Is Robert Battista a financial advisor?
Yes. Robert Battista has a current investment-adviser registration in Massachusetts and Pennsylvania, through Vestmark Advisory Solutions since July 2023.
How many years of experience does Robert Battista have?
Robert Battista has 18 years in the financial industry, since August 2008, across 6 adviser firms.
What exams has Robert Battista passed?
Robert Battista has passed 3 licensing exams: the Series 7, Series 66 and Series 31. The earliest, the Series 7, was passed in September 2005. FINRA credited Robert Battista with the SIE, which began in October 2018.
Where did Robert Battista work before Vestmark Advisory Solutions?
Before Vestmark Advisory Solutions, Robert Battista was registered through Janney Montgomery Scott LLC, September 2014 to May 2022; Janney Montgomery Scott LLC, February 2012 to May 2013; Citigroup Global Markets Inc., December 2010 to March 2012; Lockwood Advisors Inc, January 2009 to August 2010; Lockwood Capital Management, Inc, March 2008 to April 2010; Lockwood Advisors Inc, February 2007 to March 2008; Morgan Stanley, September 2005 to February 2007.
Where is Robert Battista based?
Robert Battista’s registered office is in Malvern, PA.