Jeffery G. Babb
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.
Jeffery Garland Babb JR, who also goes by Jeff Babb Jr, Jeff Babb, Jeffery Garland Babb, was a registered financial professional .
Jeffery is a previously registered financial professional and started their career in finance in 1994. Jeffery had worked at 22 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 22, 2017 - December 31, 2022
VENN WEALTH & BENEFIT SERVICES, LLC
January 17, 2013 - November 9, 2017
CAPE INVESTMENT ADVISORY, INC.
January 9, 2013 - November 9, 2017
CAPE SECURITIES INC.
April 11, 2012 - November 30, 2012
ADVANCED ASSET TRADING, INC
June 24, 2011 - March 22, 2012
ALLIED BEACON PARTNERS, INC.
June 22, 2011 - November 20, 2013
FIDUCIARY SOLUTIONS, LLC
February 9, 2011 - June 23, 2011
GIRARD SECURITIES, INC.
February 8, 2011 - June 23, 2011
GIRARD SECURITIES, INC.
November 5, 2010 - February 11, 2011
QA3 FINANCIAL LLC
November 5, 2010 - February 11, 2011
QA3 FINANCIAL CORP.
March 25, 2009 - November 2, 2010
MADISON AVENUE SECURITIES, LLC
November 8, 2007 - March 25, 2009
MADISON AVENUE ADVISORS, INC.
October 26, 2007 - November 2, 2010
MADISON AVENUE SECURITIES, LLC
October 8, 2007 - November 12, 2007
WOODSTOCK FINANCIAL GROUP, INC.
June 28, 2007 - November 12, 2007
WOODSTOCK FINANCIAL GROUP, INC.
May 14, 2001 - June 29, 2007
GREAT AMERICAN INVESTORS, INC.
June 2, 2000 - May 15, 2001
FINANCIAL WORLD CORPORATION
November 29, 1999 - June 7, 2000
HARBOUR INVESTMENTS, INC.
February 2, 1999 - November 19, 1999
SUNPOINT SECURITIES, INC.
August 3, 1998 - February 3, 1999
IFMG SECURITIES, INC.
May 27, 1998 - August 3, 1998
INDEPENDENT FINANCIAL SECURITIES, INC.
April 22, 1998 - February 2, 1999
SOUTHTRUST SECURITIES, LLC
February 1, 1997 - April 21, 1998
INVEST FINANCIAL CORPORATION
December 14, 1995 - February 1, 1997
AMERISTAR CAPITAL MARKETS, INC.
May 16, 1994 - December 6, 1995
EDWARD JONES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
VENN WEALTH & BENEFIT SERVICES, LLC
CRD#: 129865 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 192 |
| AUM (Assets Under Management) | $ 30,927,886 |
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.
