MB
Matthew T. Babcock
HANTZ FINANCIAL SERVICES
Tecumseh, MI 49286
Some features on this profile are disabled
CRD#: 2090873
MB
Professional summary
Matthew Thomas Babcock, ChFC®, who also goes by Matt Babcock, is a registered financial advisor currently at HANTZ FINANCIAL SERVICES, INC. located in Tecumseh, Michigan.
Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Matthew has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Matt Babcock
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.
CRS (Client Relationship Summary) - RIA
Click below to view Matthew Thomas Babcock's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Matthew Thomas Babcock'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®
Experience
Current
January 13, 2011 - Present
HANTZ FINANCIAL SERVICES, INC.
Office #1: 5200 Milwaukee Road, Tecumseh, MI 49286RIA
BD
CRD#: 46047
Tecumseh, MI
Current
July 25, 1999 - Present
HANTZ FINANCIAL SERVICES, INC.
Office #1: 5200 Milwaukee Road, Tecumseh, MI 49286RIA
BD
CRD#: 46047
Tecumseh, MI
Past
June 23, 1999 - July 15, 1999
HANTZ FINANCIAL SERVICES, INC.
BD
CRD#: 46047
Past
December 19, 1997 - June 25, 1999
VESTAX SECURITIES CORPORATION
BD
CRD#: 10332
HUDSON, OH
Past
November 29, 1990 - October 28, 1997
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
November 29, 1990 - October 28, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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".
HF
HANTZ FINANCIAL SERVICES, INC.
HANTZ FINANCIAL SERVICES, INC.
CRD#: 46047 / SEC#: 801-106859, 8-51291
RIA
Registered Investment Advisory firm - SEC (11/19/2015 Approved)California
Registered Investment Advisory firm - SEC (1/1/2016 Terminated)Florida
Registered Investment Advisory firm - SEC (12/2/2015 Terminated)Georgia
Registered Investment Advisory firm - SEC (12/18/2015 Terminated)Illinois
Registered Investment Advisory firm - SEC (11/19/2015 Terminated)Indiana
Registered Investment Advisory firm - SEC (12/9/2015 Terminated)Michigan
Registered Investment Advisory firm - SEC (1/26/2016 Terminated)North Carolina
Registered Investment Advisory firm - SEC (12/2/2015 Terminated)Ohio
Registered Investment Advisory firm - SEC (12/2/2015 Terminated)South Carolina
Registered Investment Advisory firm - SEC (12/2/2015 Terminated)Texas
Registered Investment Advisory firm - SEC (12/2/2015 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (12/2/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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(5/11/2009)
RR
California(12/19/2012)
IAR
California(10/6/2014)
RR
Florida(8/2/2013)
IAR
Florida(8/2/2013)
RR
Georgia(10/6/2014)
IAR
Georgia(10/6/2014)
RR
Hawaii(4/6/2023)
RR
Illinois(4/23/2014)
IAR
Illinois(9/30/2015)
RR
Indiana(3/15/2012)
IAR
Indiana(3/15/2012)
RR
Michigan(1/1/2005)
IAR
Michigan(1/13/2011)
RR
Nevada(6/2/2016)
RR
New Jersey(6/21/2012)
RR
North Carolina(1/6/2020)
RR
Ohio(1/22/2001)
IAR
Ohio(8/2/2013)
RR
Oklahoma(9/27/2023)
RR
Oregon(4/7/2023)
IAR
Texas(2/6/2013)
RR
Texas(2/13/2013)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
HF
HANTZ FINANCIAL SERVICES, INC.
HANTZ FINANCIAL SERVICES, INC.
CRD#: 46047 / SEC#: 801-106859, 8-51291
RIA
Registered Investment Advisory firm - SEC (11/19/2015 Approved)California
Registered Investment Advisory firm - SEC (1/1/2016 Terminated)Florida
Registered Investment Advisory firm - SEC (12/2/2015 Terminated)Georgia
Registered Investment Advisory firm - SEC (12/18/2015 Terminated)Illinois
Registered Investment Advisory firm - SEC (11/19/2015 Terminated)Indiana
Registered Investment Advisory firm - SEC (12/9/2015 Terminated)Michigan
Registered Investment Advisory firm - SEC (1/26/2016 Terminated)North Carolina
Registered Investment Advisory firm - SEC (12/2/2015 Terminated)Ohio
Registered Investment Advisory firm - SEC (12/2/2015 Terminated)South Carolina
Registered Investment Advisory firm - SEC (12/2/2015 Terminated)Texas
Registered Investment Advisory firm - SEC (12/2/2015 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (12/2/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
26200 American Drive Fifth Floor, Southfield, MI 48034
Mailing Address
26200 American Drive Fifth Floor, Southfield, MI 48034
Phone number
(248) 304-2855
Established
Michigan since 06/19/1998
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
402
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HANTZ GROUP, INC. | PARENT COMPANY | |
| ARNOLD, DAVID JOSEPH | SENIOR VP | 6738208 |
| BEEBE, JOHN FREDERICK | SENIOR VP | 4151293 |
| ESCOBEDO, SAMANTHA TRACY | SENIOR VP | 6554885 |
| HANTZ, JOHN RUSSELL | DIRECTOR | 1462066 |
| HANTZ, KIMBERLY DIANE | DIRECTOR | 5109009 |
| HANTZ, LAUREN CHRISTINE | DIRECTOR | 6737867 |
| JAMES, TIMOTHY C | SENIOR VP | 4751106 |
| MACHCINSKI, JOHN FRANCIS | PRESIDENT/SECRETARY/CHIEF COMPLIANCE OFFICER | 853028 |
| MCALEAR, THOMAS CRAIG | DIRECTOR | 7517087 |
| MCCLAIN, ROBERT MATTHEW | SENIOR VP | 4768883 |
| NATALE, ANTONIO ANDRE | VICE PRESIDENT OF ASSET MANAGEMENT | 4268947 |
| RACINE, JAMIE MILLER | SENIOR VP | 4585375 |
| REID, MICHAEL ORAS | SENIOR VP | 1923539 |
| SHEA, DAVID JOSEPH | DIRECTOR | 5109005 |
| SOPER, JEFFERY HAROLD | SENIOR VP | 2205971 |
| STEVENS, DANIEL JOSEPH | SENIOR VP | 5868523 |
| YAROCH, RENEE ANN | VP/CFO/FINOP/PRINCIPAL OPERATIONS OFFICER | 2040518 |
Regulatory assets under management
| Total Number of Accounts | 111,576 |
| AUM (Assets Under Management) | $ 7,817,501,016 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/13/2023 |
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.
