DFX Intelligence

Data Factory

RIA / WealthAdvisor20 years in industry

ROBERT GUIDO BATTISTA

Advisor at VESTMARK ADVISORY SOLUTIONS, INC.

WAKEFIELD, MA | Malvern, PA

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:db03642e-72ef-b259-bc9e-9b6430f0ff75

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Sep 21, 2005 to Sep 15, 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: VESTMARK ADVISORY SOLUTIONS, INC.
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 20, 2005earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Sep 20, 2005
First registration: Sep 21, 2005
Dual registered: no
IAPD individual key: 4927631

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
VESTMARK ADVISORY SOLUTIONS, INC.	Independent wealth	Jul 26, 2023	n/a	yes	WAKEFIELD, MA\|Malvern, PA	Current employment
JANNEY MONTGOMERY SCOTT LLC	Bd affiliated wealth	Sep 29, 2014	May 3, 2022	no	PHILADELPHIA, PA\|PHILADELPHIA, PA	Previous registration
JANNEY MONTGOMERY SCOTT LLC	Bd affiliated wealth	Feb 29, 2012	May 13, 2013	no	PHILADELPHIA, PA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Dec 16, 2010	Mar 8, 2012	no	NEW YORK, NY\|WILMINGTON, DE\|NEW YORK, NY	Previous registration
BNY MELLON ADVISORS, INC.	Bank affiliated wealth	Jan 15, 2009	Aug 5, 2010	no	NEW YORK, NY	Previous registration
LOCKWOOD FINANCIAL SERVICES, INC.	n/a	Mar 14, 2008	Apr 5, 2010	no	MALVERN, PA	Previous registration
BNY MELLON ADVISORS, INC.	Bank affiliated wealth	Feb 5, 2007	Mar 14, 2008	no	NEW YORK, NY	Previous registration
MORGAN STANLEY DW INC.	n/a	Sep 21, 2005	Feb 2, 2007	no	VOORHEES, NJ\|VOORHEES, NJ	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
JANNEY MONTGOMERY SCOTT LLC	VESTMARK ADVISORY SOLUTIONS, INC.	May 3, 2022	Jul 26, 2023	449	Firm change after gap	Other
CITIGROUP GLOBAL MARKETS INC.	JANNEY MONTGOMERY SCOTT LLC	Mar 8, 2012	Feb 29, 2012	-8	Firm change	Other
BNY MELLON ADVISORS, INC.	CITIGROUP GLOBAL MARKETS INC.	Aug 5, 2010	Dec 16, 2010	133	Firm change	Other
LOCKWOOD FINANCIAL SERVICES, INC.	BNY MELLON ADVISORS, INC.	Apr 5, 2010	Jan 15, 2009	-445	Firm change after gap	Other
BNY MELLON ADVISORS, INC.	LOCKWOOD FINANCIAL SERVICES, INC.	Mar 14, 2008	Mar 14, 2008	0	Firm change	Other
MORGAN STANLEY DW INC.	BNY MELLON ADVISORS, INC.	Feb 2, 2007	Feb 5, 2007	3	Firm change	Other

Relationships

Registered with (6)

→ VESTMARK ADVISORY SOLUTIONS, INC.Registered adviserregistration: current employment
Jul 26, 2023 to presentfactForm ADV
→ JANNEY MONTGOMERY SCOTT LLCRegistered adviserregistration: previous registration
Sep 29, 2014 to May 3, 2022factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Dec 16, 2010 to Mar 8, 2012factForm ADV
→ BNY MELLON ADVISORS, INC.Registered adviserregistration: previous registration
Jan 15, 2009 to Aug 5, 2010factForm ADV
→ LOCKWOOD FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Mar 14, 2008 to Apr 5, 2010factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Sep 21, 2005 to Feb 2, 2007factForm ADV

Dated events

Occurred
May 3, 2022
Advisor changed firm
Robert Guido Battista left Janney Montgomery Scott Llc for Vestmark Advisory Solutions, Inc. (registered 2023-07-26)
Form ADVobserved 4 days ago