DFX Intelligence

Data Factory

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

MICHAEL ANDREW BATTAGLIA

Advisor at CETERA INVESTMENT ADVISERS LLC

MT PLEASANT, SC

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:a287381a-161e-4029-ea68-ab6eeeb49544

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jun 26, 1997 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: CETERA INVESTMENT ADVISERS LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 10, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Apr 10, 1997
First registration: Jun 26, 1997
Dual registered: yes, broker-dealer
Other names: MICHAEL BUTTAGLIA
IAPD individual key: 2853381

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
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Jun 29, 2023	n/a	yes	MT PLEASANT, SC	Current employment
WALNUT STREET SECURITIES, INC.	Former SEC adviser	May 28, 2013	Sep 3, 2013	no	MT PLEASANT, SC	Previous registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Jan 2, 2009	May 29, 2013	no	MT. PLEASANT, SC	Previous registration
RAYMOND JAMES FINANCIAL SERVICES, INC.	n/a	May 9, 2006	Jan 2, 2009	no	CHARLESTON, SC\|MT. PLEASANT, SC	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Jun 26, 1997	May 4, 2006	no	CHARLESTON, SC\|CHARLESTON, SC	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
WALNUT STREET SECURITIES, INC.	CETERA INVESTMENT ADVISERS LLC	Sep 3, 2013	Jun 29, 2023	3,586	Firm change after gap	Other
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	WALNUT STREET SECURITIES, INC.	May 29, 2013	May 28, 2013	-1	Firm change	Other
RAYMOND JAMES FINANCIAL SERVICES, INC.	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Jan 2, 2009	Jan 2, 2009	0	Bulk transfer	Other
CITIGROUP GLOBAL MARKETS INC.	RAYMOND JAMES FINANCIAL SERVICES, INC.	May 4, 2006	May 9, 2006	5	Firm change	Other

Relationships

Registered with (5)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Jun 29, 2023 to presentfactForm ADV
→ WALNUT STREET SECURITIES, INC.Registered adviserregistration: previous registration
May 28, 2013 to Sep 3, 2013factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Jan 2, 2009 to May 29, 2013factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
May 9, 2006 to Jan 2, 2009factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Jun 26, 1997 to May 4, 2006factForm ADV

Dated events

No dated event names this entity yet.