William A. Babis
Professional summary
William Alfred Babis, who also goes by William A Lefevre Jr, William Alfred Lefevre, is a registered financial professional currently at TJM INVESTMENTS, LLC located in New York, New York.
William is registered as a RR (Registered Representative) and started their career in finance in 1988. William has worked at 9 firms and has passed the Series 63, Series 3, Series 72, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William Alfred Babis's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 3, 2024 - Present
TJM INVESTMENTS, LLC
Office #1: 192 Lexington Avenue Suite 1203, New York, NY 10016October 5, 2018 - January 16, 2024
TJM INVESTMENTS, LLC
July 27, 2018 - October 5, 2018
DINOSAUR FINANCIAL GROUP, L.L.C
June 3, 2005 - July 17, 2018
BGC FINANCIAL, L.P.
November 3, 2004 - May 3, 2006
CASTLEOAK SECURITIES, LP
March 5, 2004 - October 8, 2004
GH TRADERS LLC
September 2, 2003 - February 11, 2004
BROKERTEC AMERICAS LLC
January 31, 2002 - February 10, 2004
ICAP SECURITIES USA LLC
April 13, 1992 - January 25, 2002
ICAP SECURITIES USA LLC
February 28, 1991 - April 4, 1992
FUNDAMENTAL BROKERS
June 23, 1988 - February 28, 1991
FUNDAMENTAL BROKERS
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/3/2024)
(12/3/2024)
Exams
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationCboe Exchange, Inc.
FINRA
Investors' Exchange LLC
NYSE American LLC
NYSE Arca, Inc.
Nasdaq ISE, LLC
New York Stock Exchange
Current Firm
TJM INVESTMENTS, LLC
CRD#: 46300 / SEC#: , 8-51370
Contact information
FINRA licenses (34 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TJM HOLDINGS, LLC | HOLDING COMPANY | |
| BEITLER, STEVE ALLEN | CHIEF EXECUTIVE OFFICER | 1893827 |
| BURKE, JOHN TERRENCE | CHIEF OPERATING OFFICER | 2116593 |
| DANG, STACY BINH | CHIEF COMPLIANCE OFFICER | 3143275 |
| MURPHY, THOMAS JAMES | CO-MANAGER | 857354 |
| RISINGER, COLLEEN SULLIVAN | FINOP CFO | 2812053 |
| SKWERES, DENISE PAREJKO | FINOP CFO | 5332253 |
Disclosures
| Regulatory Event | 12 |
Red Flags
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