PB
Peter M. Babilla
VERTEX PARTNERS
Downers Grove, IL 60515
Some features on this profile are disabled
CRD#: 1312217
PB
Professional summary
Peter Matthew Babilla, CFP®, who also goes by Pete Babilla, Peter M Babilla, Peter Mathew Babilla, is a registered financial advisor currently at VERTEX PARTNERS located in Downers Grove, Illinois and LPL FINANCIAL LLC located in Downers Grove, Illinois.
Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Peter has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
What are your service offerings?
Comprehensive Financial Planni...
Insurance Planning
Investment Planning
Retirement Planning
Estate Planning
Divorce Planning
Employee and Employer Plan Ben...
Are you a "fiduciary"?
Yes
Aliases
Pete Babilla | Peter M Babilla | Peter Mathew Babilla
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. 1/18/19 - Highpoint Planning Partners LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 01/20/19 - Time Spent 100% 2. 1/31/2019 - Avant Holistic Wealth Management - Investment related - Home based - Business Entity For Tax/Investment Purposes Only - start date: 01/24/2019 - 0 Hours Per Month. 3. 11/5/2020 - Ohio National Life - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 08/03/2020 - 10 Hours Per Month/0 Hours During Securities Trading. 4. 10/5/2021 - Capitas Financial Midwest, LLC - Investment Related - HighPoint, 2001 Butterfield Rd Ste 1000, Downers Grove, IL 60515 - Non-Variable Insurance - Started 08/02/2021 - 2 Hours Per Month/0 Hours During Securities Trading. 5. 1/24/2023 - Vertex Partners LLC - DBA: Vertex Planning Partners LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date - 12/15/2022 - 160 Hours Per Month/160 Hours During Securities Trading - I provide investment advisory services through Vertex Partners LLC, an independent investment advisor firm. I started this business activity in 12/2022. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Peter Matthew Babilla's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2011
Experience
Current
December 16, 2022 - Present
VERTEX PARTNERS
Office #1: 3000 Woodcreek Drive Suite 100, Downers Grove, IL 60515RIA
CRD#: 316839
Downers Grove, IL
Current
January 18, 2019 - Present
LPL FINANCIAL LLC
Office #1: 3000 Woodcreek Dr Ste 100, Downers Grove, IL 60515RIA
BD
CRD#: 6413
DOWNERS GROVE, IL
Past
January 18, 2019 - April 14, 2023
LPL FINANCIAL LLC
RIA
CRD#: 6413
DOWNERS GROVE, IL
Past
June 1, 2009 - January 25, 2019
MORGAN STANLEY
RIA
CRD#: 149777
LISLE, IL
Past
June 1, 2009 - January 25, 2019
MORGAN STANLEY
BD
CRD#: 149777
LISLE, IL
Past
May 28, 2009 - July 30, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
NAPERVILLE, IL
Past
May 28, 2009 - July 30, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NAPERVILLE, IL
Past
November 2, 2001 - June 12, 2009
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
NAPERVILLE, IL
Past
November 2, 2001 - June 12, 2009
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
NAPERVILLE, IL
Past
April 23, 1998 - November 9, 2001
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
August 2, 1990 - April 1, 1998
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
March 1, 1989 - August 14, 1990
UNION PLANTERS INVESTMENT BANKERS GROUP, INC.
BD
CRD#: 16493
Past
December 10, 1984 - March 31, 1989
PLANSMITH SECURITIES,INC.
BD
CRD#: 14467
Past
October 26, 1984 - May 1, 1985
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
VP
VERTEX PARTNERS
VERTEX PARTNERS | VERTEX PLANNING PARTNERS, LLC
CRD#: 316839 / SEC#: 801-122980
RIA
Registered Investment Advisory firm - (1/3/2022 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/18/2019)
RR
Arkansas(1/18/2019)
RR
California(1/18/2019)
RR
Connecticut(1/18/2019)
RR
Florida(11/12/2020)
RR
Illinois(1/18/2019)
IAR
Illinois(12/16/2022)
RR
Indiana(1/18/2019)
RR
Maryland(12/6/2022)
RR
Michigan(1/18/2019)
RR
Mississippi(1/18/2019)
RR
Missouri(1/18/2019)
RR
New Jersey(1/18/2019)
RR
North Carolina(4/23/2021)
RR
Ohio(1/18/2019)
RR
Pennsylvania(1/18/2019)
RR
South Carolina(11/10/2022)
RR
Tennessee(1/18/2019)
RR
Texas(1/18/2019)
RR
Washington(4/13/2021)
RR
West Virginia(1/18/2019)
RR
Wisconsin(1/18/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VP
VERTEX PARTNERS
VERTEX PARTNERS | VERTEX PLANNING PARTNERS, LLC
CRD#: 316839 / SEC#: 801-122980
RIA
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Contact information
Main Address
3000 Woodcreek Drive Suite 100, Downers Grove, IL 60515
Mailing Address
Phone number
(630) 836-3300
Established
Firm type
Fiscal year end
# of Employees
20
SEC notice filing (18 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,374 |
| AUM (Assets Under Management) | $ 827,936,305 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
