Robert M. Babcock
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert Mackey Babcock SR, who also goes by Robert Mackey Babcock, Bob Babock, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1968. Robert had worked at 13 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2013 - December 31, 2020
SUNSTREET SECURITIES, LLC
December 11, 2007 - December 31, 2012
INVESTORS CAPITAL CORP.
October 9, 2003 - December 14, 2007
LPL FINANCIAL LLC
June 28, 2002 - September 9, 2003
METROPOLITAN LIFE INSURANCE COMPANY
June 28, 2002 - September 9, 2003
MSI FINANCIAL SERVICES, INC.
August 6, 1992 - April 22, 2002
MUTUAL SERVICE CORPORATION
October 18, 1986 - July 31, 1992
JOHN HANCOCK DISTRIBUTORS LLC
August 16, 1978 - October 28, 1986
GENERAL AMERICAN LIFE INSURANCE COMPANY
August 23, 1973 - December 23, 1986
THE PAUL REVERE VARIABLE ANNUITY INSURANCE COMPANY
March 5, 1971 - November 17, 1973
ITT FAMILY SECURITY SALES CORPORATION
November 25, 1970 - July 28, 1972
HOPPER SECURITIES-VERMONT
October 27, 1969 - May 17, 1976
VERAVEST INVESTMENTS, INC.
April 1, 1968 - May 17, 1976
ALLMERICA FINANCIAL LIFE INSURANCE AND ANNUITY COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 9/4/1968
Registered Representative ExaminationCurrent Firm
SUNSTREET SECURITIES, LLC
CRD#: 143211 / SEC#: , 8-67541
Contact information
FINRA licenses (38 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HADDAD, MUNIB SAID | CEO/CCO/CFO/FINOP/ROSFP/MANAGING MEMBER | 2610231 |
Regulatory assets under management
| Total Number of Accounts | 48 |
| AUM (Assets Under Management) | $ 5,900,000 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
