Joel J. Babbitt
Professional summary
Joel Justin Babbitt is a registered financial professional currently at KESTRA INVESTMENT SERVICES, LLC located in Glenview, Illinois.
Joel is registered as a RR (Registered Representative) and started their career in finance in 1987. Joel has worked at 9 firms and has passed the Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joel Justin Babbitt's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 31, 2018 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 1701 E. Lake Avenue Suite 400, Glenview, IL 60025May 13, 2016 - November 1, 2018
SIGNATOR INVESTORS, INC.
June 20, 2011 - May 13, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 4, 2010 - November 5, 2010
BREWER FINANCIAL SERVICES, LLC
January 20, 2000 - August 3, 2009
THE O.N. EQUITY SALES COMPANY
January 12, 1999 - January 20, 2000
HORNOR, TOWNSEND & KENT, LLC
July 27, 1995 - January 5, 1999
MML INVESTORS SERVICES, LLC
July 8, 1988 - June 20, 1995
ROBERT W. BAIRD & CO. INCORPORATED
December 16, 1987 - June 21, 1995
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/31/2018)
(10/31/2018)
(1/7/2022)
(1/7/2022)
(10/31/2018)
(1/21/2022)
(12/6/2022)
(10/5/2023)
(10/31/2018)
(10/31/2018)
Exams
FINRA
Current Firm
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
Red Flags
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