DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

Carmelo Anthony Battaglia

Advisor at WELLS FARGO ADVISORS

MISSION VIEJO, CA | IRVINE, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:26a0cad6-0986-c19d-0bc8-ad8e2dcc82a9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Sep 16, 1999 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: WELLS FARGO ADVISORS
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 25, 1996earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Oct 25, 1996
First registration: Sep 16, 1999
Dual registered: yes, broker-dealer
Other names: TONY BATTAGLIA|CARMELO ANTHONY BATTAGLIA|C.ANTHONY ANTHONY BATTAGLIA|CARMELO A BATTAGLIA|CARMELO A BATTAGLIA
IAPD individual key: 2803141

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
WELLS FARGO ADVISORS	Wirehouse	Apr 26, 2022	n/a	yes	IRVINE, CA\|MISSION VIEJO, CA	Current employment
RAYMOND JAMES & ASSOCIATES, INC.	National bd RIA	Feb 12, 2018	May 3, 2022	no	SANTA BARBARA, CA\|Woodland Hills, CA\|WESTLAKE VILLAGE, CA\|SANTA BARBARA, CA	Previous registration
MORGAN STANLEY	Wirehouse	Oct 9, 2015	Feb 8, 2018	no	PASADENA, CA\|Sherman Oaks, CA\|Pasadena, CA\|VALENCIA, CA	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Nov 6, 2013	Oct 7, 2015	no	SANTA CLARITA, CA\|VALENCIA, CA\|VALENCIA, CA\|WESTLAKE VILLAGE, CA\|WEST HILLS, CA\|CALABASAS, CA\|MALIBU, CA\|CAMARILLO, CA\|THOUSAND OAKS, CA\|VENTURA, CA\|SANTA PAULA, CA\|SANTA BARBARA, CA\|SIMI VALLEY, CA\|CALABASAS, CA\|CALABASAS, CA\|AGOURA HILLS, CA\|GOLETA, CA\|NEWBURY PARK, CA\|SIMI VALLEY, CA\|SIMI VALLEY, CA\|THOUSAND OAKS, CA\|WESTLAKE VILLAGE, CA\|CAMARILLO, CA\|VENTURA, CA\|PORT HUENEME, CA\|CAMARILLO, CA\|VENTURA, CA\|SIMI VALLEY, CA\|OXNARD, CA\|THOUSAND OAKS, CA\|OJAI, CA\|VENTURA, CA\|SIMI VALLEY, CA\|NEWBURY PARK, CA\|MOORPARK, CA\|OXNARD, CA\|VENTURA, CA\|OXNARD, CA\|SANTA BARBARA, CA\|GOLETA, CA\|CARPINTERIA, CA\|OXNARD, CA\|SIMI VALLEY, CA\|WESTLAKE VILLAGE, CA\|CAMARILLO, CA\|CALABASAS, CA\|SANTA BARBARA, CA\|MONTECITO, CA\|SANTA BARBARA, CA\|WESTLAKE VILLAGE, CA	Previous registration
CROWELL WEEDON & CO.	Former SEC adviser	Nov 4, 2013	Nov 14, 2013	no	ENCINO, CA	Previous registration
CROWELL, WEEDON & CO.	Former SEC adviser	Mar 21, 2011	Nov 4, 2013	no	EL SEGUNDO, CA\|ENCINO, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jun 1, 2010	Mar 21, 2011	no	RIVERSIDE, CA	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Jun 21, 2010	no	CLAREMONT, CA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Sep 16, 1999	Jun 1, 2009	no	CLARMONT, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
RAYMOND JAMES & ASSOCIATES, INC.	WELLS FARGO ADVISORS	May 3, 2022	Apr 26, 2022	-7	Firm change	Ibd to wirehouse
MORGAN STANLEY	RAYMOND JAMES & ASSOCIATES, INC.	Feb 8, 2018	Feb 12, 2018	4	Firm change	Wirehouse to ibd
J.P. MORGAN SECURITIES LLC	MORGAN STANLEY	Oct 7, 2015	Oct 9, 2015	2	Firm change	Wirehouse to wirehouse
CROWELL WEEDON & CO.	J.P. MORGAN SECURITIES LLC	Nov 14, 2013	Nov 6, 2013	-8	Firm change	Other
CROWELL, WEEDON & CO.	CROWELL WEEDON & CO.	Nov 4, 2013	Nov 4, 2013	0	Bulk transfer	Other
WELLS FARGO ADVISORS	CROWELL, WEEDON & CO.	Mar 21, 2011	Mar 21, 2011	0	Firm change	Other
MORGAN STANLEY	WELLS FARGO ADVISORS	Jun 21, 2010	Jun 1, 2010	-20	Firm change	Wirehouse to wirehouse
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other

Relationships

Registered with (7)

→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jun 1, 2010 to Mar 21, 2011factForm ADV
→ RAYMOND JAMES & ASSOCIATES, INC.Registered adviserregistration: previous registration
Feb 12, 2018 to May 3, 2022factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Oct 9, 2015 to Feb 8, 2018factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Nov 6, 2013 to Oct 7, 2015factForm ADV
→ CROWELL WEEDON & CO.Registered adviserregistration: previous registration
Nov 4, 2013 to Nov 14, 2013factForm ADV
→ CROWELL, WEEDON & CO.Registered adviserregistration: previous registration
Mar 21, 2011 to Nov 4, 2013factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Sep 16, 1999 to Jun 1, 2009factForm ADV

Dated events

Occurred
May 3, 2022
Advisor changed firm
Carmelo Anthony Battaglia left Raymond James & Associates, Inc. for Wells Fargo Advisors (registered 2022-04-26)
Form ADVobserved 4 days ago