Michael S. Babcock

TURRET INVESTMENTS

Cohasset, MA

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CRD#: 2450869

Professional summary

Michael Scott Babcock is a registered financial advisor currently at TURRET INVESTMENTS, LLC located in Cohasset, Massachusetts.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Michael has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1. Turrets Investment PTY Ltd; investment related; Sydney Australia; Australian registered financial services firm (registered with ASIC); start date 1/2013; 80 hours per month 2. Bulldog Capital LC; investment related; Cohasset, MA; personal family investments; start date 5/2015; 20 hours per month 3. Stansted Capital Management Ltd; investment related; Cohasset, MA; personal family investments; start date 5/2015; 20 hours per month

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Scott 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®

None

Experience

Current

December 4, 2020 - Present

TURRET INVESTMENTS, LLC

RIA

CRD#: 307791

Cohasset, MA

Past

January 2, 2014 - July 14, 2015

TRADITION SECURITIES AND DERIVATIVES LLC

CRD#: 28269

NEW YORK, NY

Past

May 1, 2008 - February 14, 2015

STANDARD CREDIT SECURITIES INC.

CRD#: 42813

NEW YORK, NY

Past

April 21, 1999 - May 15, 2008

GFI SECURITIES LLC

CRD#: 19982

NEW YORK, NY

Past

July 21, 1997 - April 21, 1999

TRADITION SECURITIES AND DERIVATIVES LLC

CRD#: 28269

NEW YORK, NY

Past

November 6, 1995 - May 30, 1996

ING BARING (U.S.) SECURITIES, INC.

CRD#: 5285

NEW YORK, NY

Past

March 2, 1994 - November 6, 1995

INTERNATIONALE NEDERLANDEN (U.S.) SECURITIES CORPORATION

CRD#: 31797

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.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(12/4/2020)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/24/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/22/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/14/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/1/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/15/2001

General Securities Principal Examination

Current Firm

TURRET INVESTMENTS, LLC

TURRET INVESTMENTS LLC | TURRET INVESTMENTS, LLC

CRD#: 307791 / SEC#:

Massachusetts

Registered Investment Advisory firm - (12/4/2020 Approved)

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Contact information

Main Address

132 Chief Justice Cushing Hwy Unit 216, Cohasset, MA 02025

Mailing Address

Phone number

(203) 803-9880

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	1
AUM (Assets Under Management)	$ 50,000,000

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Michael S. Babcock

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Scott Babcock's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRADITION SECURITIES AND DERIVATIVES LLC

STANDARD CREDIT SECURITIES INC.

GFI SECURITIES LLC

TRADITION SECURITIES AND DERIVATIVES LLC

ING BARING (U.S.) SECURITIES, INC.

INTERNATIONALE NEDERLANDEN (U.S.) SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 8/24/2020

Series 63

Date: 3/22/1994

SIE

Date: 7/14/2015

Series 7

Date: 3/1/1994

Series 24

Date: 3/15/2001

Current Firm

TURRET INVESTMENTS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

TURRET INVESTMENTS, LLC

TRUST BUT VERIFY

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