Warren W. 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.
Warren Wood Babcock III, who also goes by Warren Babcock, Woody Babcock, was a registered financial professional .
Warren is a previously registered financial professional and started their career in finance in 1984. Warren had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 13, 2008 - December 4, 2017
PUTNAM INVESTMENT MANAGEMENT, LLC
February 19, 1997 - February 5, 2008
PUTNAM INVESTMENT MANAGEMENT, LLC
February 18, 1997 - December 4, 2017
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
February 13, 1992 - February 18, 1997
ALLIANCEBERNSTEIN INVESTMENTS, INC.
March 23, 1984 - December 5, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
PUTNAM INVESTMENT MANAGEMENT, LLC
CRD#: 106629 / SEC#: 801-7974
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
Current Firm
PUTNAM INVESTMENT MANAGEMENT, LLC
CRD#: 106629 / SEC#: 801-7974
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 559 |
| AUM (Assets Under Management) | $ 85,208,444,537 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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