John M. Babnik

RAYMOND JAMES INVESTMENT MANAGEMENT

Glencoe, IL

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CRD#: 2213781

Professional summary

John M Babnik JR, who also goes by John M Babnik Jr, John M Babnik, John Michael Babnik Jr, John M Babnik Jr, is a registered financial advisor currently at RAYMOND JAMES INVESTMENT MANAGEMENT located in Glencoe, Illinois and CARILLON FUND DISTRIBUTORS, INC. located in St. Petersburg, Florida.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. John has worked at 22 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John M Babnik Jr | John M Babnik | John Michael Babnik Jr | John M Babnik Jr

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.

Employee of Resolute Investment Services which is an affiliate of Resolute Investment Distributors. Involved in Sales and wholesale distribution of products and services of Resolute Investment Services and its affiliates.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John M Babnik JR's CRS (Customer Relationship Summary).

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®

None

Experience

Current

April 25, 2025 - Present

RAYMOND JAMES INVESTMENT MANAGEMENT

RIA

CRD#: 174904

Glencoe, IL

Current

April 16, 2025 - Present

CARILLON FUND DISTRIBUTORS, INC.

Office #1: 880 Carillon Parkway, St. Petersburg, FL 33716

CRD#: 139749

St. Petersburg, FL

Past

January 24, 2023 - July 30, 2024

RESOLUTE INVESTMENT DISTRIBUTORS, INC.

CRD#: 287788

IRVING, TX

Past

January 20, 2023 - July 30, 2024

AMERICAN BEACON ADVISORS, INC.

RIA

CRD#: 105552

Glencoe, IL

Past

November 13, 2020 - January 4, 2023

NORTHERN TRUST INVESTMENTS, INCORPORATED

RIA

CRD#: 105780

Glencoe, IL

Past

November 13, 2020 - January 4, 2023

NORTHERN TRUST SECURITIES, INC.

CRD#: 7927

CHICAGO, IL

Past

January 10, 2020 - October 13, 2020

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

SAN MATEO, CA

Past

January 10, 2020 - October 13, 2020

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

CRD#: 13594

SAN MATEO, CA

Past

June 6, 2012 - December 13, 2019

COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC

RIA

CRD#: 108257

GLENCOE, IL

Past

June 6, 2012 - December 13, 2019

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

CRD#: 840

BOSTON, MA

Past

April 19, 2011 - January 5, 2012

SALIENT CAPITAL ADVISORS, LLC

RIA

CRD#: 153914

HOUSTON, TX

Past

February 2, 2011 - November 14, 2011

SALIENT ADVISORS, L.P.

RIA

CRD#: 122833

HOUSTON, TX

Past

February 2, 2011 - November 14, 2011

CYPRESS CREEK PARTNERS

RIA

CRD#: 129346

HOUSTON, TX

Past

February 2, 2011 - January 5, 2012

SALIENT CAPITAL L.P.

CRD#: 147912

HOUSTON, TX

Past

January 4, 2010 - January 28, 2011

ALLSPRING FUNDS MANAGEMENT, LLC

RIA

CRD#: 110841

SAN FRANCISCO, CA

Past

January 4, 2010 - January 28, 2011

ALLSPRING FUNDS DISTRIBUTOR, LLC

CRD#: 133366

CHARLOTTE, NC

Past

September 2, 2009 - January 4, 2010

EVERGREEN INVESTMENT MANAGEMENT CO

RIA

CRD#: 104594

BOSTON, MA

Past

February 6, 2007 - January 4, 2010

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

CRD#: 487

CHARLOTTE, NC

Past

July 31, 1998 - June 6, 2005

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

September 13, 1996 - March 10, 1998

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

March 28, 1994 - July 8, 1996

BMO CAPITAL MARKETS GKST INC.

CRD#: 8352

MINNEAPOLIS, MN

Past

May 12, 1992 - March 16, 1994

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

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".

RAYMOND JAMES INVESTMENT MANAGEMENT

CARILLON TOWER ADVISERS, INC. | RAYMOND JAMES INVESTMENT MANAGEMENT

CRD#: 174904 / SEC#: 801-100356

RIA

Registered Investment Advisory firm - (7/6/2015 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.

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

Florida
(7/8/2025)

Illinois
(4/16/2025)

IAR

Illinois
(4/25/2025)

Indiana
(7/8/2025)

Iowa
(7/8/2025)

Kentucky
(7/8/2025)

Michigan
(7/8/2025)

Minnesota
(7/8/2025)

North Dakota
(7/8/2025)

Ohio
(7/8/2025)

South Dakota
(7/8/2025)

Virginia
(7/8/2025)

West Virginia
(7/8/2025)

Wisconsin
(7/8/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/4/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/30/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/26/1994

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/23/1992

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 10

Date: 3/7/2000

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 3/1/2000

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

RAYMOND JAMES INVESTMENT MANAGEMENT

CARILLON TOWER ADVISERS, INC. | RAYMOND JAMES INVESTMENT MANAGEMENT

CRD#: 174904 / SEC#: 801-100356

RIA

Registered Investment Advisory firm - (7/6/2015 Approved)

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Contact information

Main Address

780 Carillon Parkway, St Petersburg, FL 33716

Mailing Address

880 Carillon Parkway, St Petersburg, FL 33716

Phone number

(800) 521-1195

Established

Firm type

Fiscal year end

# of Employees

173

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RAYMOND JAMES INVESTMENT MANAGEMENT FORM ADV PART 2 DECEMBER 2024 (12/11/2024)

Regulatory assets under management

Total Number of Accounts	5
AUM (Assets Under Management)	$ 16,378,977,378

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.

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Advisor Monitoring

Firm Stability Insights

John M. Babnik

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John M Babnik JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

CARILLON FUND DISTRIBUTORS, INC.

RESOLUTE INVESTMENT DISTRIBUTORS, INC.

AMERICAN BEACON ADVISORS, INC.

NORTHERN TRUST INVESTMENTS, INCORPORATED

NORTHERN TRUST SECURITIES, INC.

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

SALIENT CAPITAL ADVISORS, LLC

SALIENT ADVISORS, L.P.

CYPRESS CREEK PARTNERS

SALIENT CAPITAL L.P.

ALLSPRING FUNDS MANAGEMENT, LLC

ALLSPRING FUNDS DISTRIBUTOR, LLC

EVERGREEN INVESTMENT MANAGEMENT CO

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

CITIGROUP GLOBAL MARKETS INC.

UBS FINANCIAL SERVICES INC.

BMO CAPITAL MARKETS GKST INC.

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

RAYMOND JAMES INVESTMENT MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 12/4/2001

Series 63

Date: 4/30/1992

SIE

Date: 10/1/2018

Series 7

Date: 3/26/1994

Series 6

Date: 4/23/1992

Series 10

Date: 3/7/2000

Series 9

Date: 3/1/2000

FINRA

Current Firm

RAYMOND JAMES INVESTMENT MANAGEMENT

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RAYMOND JAMES INVESTMENT MANAGEMENT

TRUST BUT VERIFY

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