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Melissa M. Babb

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CRD#: 2029428
MB

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.

Melissa Marek Babb was a registered financial professional .

Melissa is a previously registered financial professional and started their career in finance in 1990. Melissa had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 5, 2008 - February 7, 2025

HMC INVESTMENTS, LLC

BD
CRD#: 40581
ATLANTA, GA
Past

May 1, 2001 - April 25, 2007

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
ATLANTA, GA
Past

March 22, 1993 - May 1, 2001

JPMSI

BD
CRD#: 15733
NEW YORK, NY
Past

February 13, 1990 - April 28, 1993

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 5/7/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/23/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/10/1990
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/13/2005
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 3/26/2002
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 3/25/2002
General Securities Sales Supervisor - Options Module Examination

Current Firm

HI
HMC INVESTMENTS, LLC
HARBINGER SECURITIES, INC. | HMC INVESTMENTS, LLC | HMC INVESTMENTS, INC.

CRD#: 40581 / SEC#: , 8-49140

BD
Terminated by SEC on 02/08/2025
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Contact information

Main Address
Mailing Address
Phone number
Established
Alabama since 11/30/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
HARBERT MANAGEMENT CORPORATION100% OWNERSHIP
BAUDER, MICHAEL CONRADCHIEF COMPLIANCE OFFICER2318491
BAUDER, MICHAEL CONRADPRESIDENT2318491

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.

Company Information

HMC INVESTMENTS, LLC

CRD#: 40581

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