Douglas M. Babcock

PROFESSIONAL FINANCIAL MANAGEMENT

Bozeman, MT 59718

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CRD#: 2499954

Professional summary

Douglas Menzie Babcock, CFP®, who also goes by Doug Babcock, is a registered financial advisor currently at PROFESSIONAL FINANCIAL MANAGEMENT, INC. located in Bozeman, Montana.

Douglas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Douglas has worked at 5 firms and has passed the Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Doug 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Menzie Babcock'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®

CFP^®

Certified Financial Planner

Start date: 2012

Experience

Current

August 21, 2008 - Present

PROFESSIONAL FINANCIAL MANAGEMENT, INC.

Office #1: 945 Technology Blvd Ste 102, Bozeman, MT 59718

RIA

CRD#: 118117

Bozeman, MT

Past

March 1, 2005 - May 1, 2007

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

BOZEMAN, MT

Past

November 2, 2004 - June 7, 2005

FIRST HEARTLAND CAPITAL, INC.

CRD#: 32460

LAKE ST. LOUIS, MO

Past

August 13, 1996 - October 7, 2002

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

SAINT PAUL, MN

Past

July 15, 1994 - August 20, 1996

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

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".

PROFESSIONAL FINANCIAL MANAGEMENT, INC.

CRD#: 118117 / SEC#: 801-132539

RIA

Registered Investment Advisory firm - (4/28/2025 Approved)

Alaska

Registered Investment Advisory firm - (10/2/2025 Terminated)

California

Registered Investment Advisory firm - (10/31/2025 Terminated)

Louisiana

Registered Investment Advisory firm - (10/1/2025 Terminated)

Montana

Registered Investment Advisory firm - (10/1/2025 Terminated)

Texas

Registered Investment Advisory firm - (10/1/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Montana
(8/21/2008)

IAR

Texas
(7/6/2021)

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

Series 63

Date: 9/10/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/14/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/29/1995

General Securities Principal Examination

Current Firm

PROFESSIONAL FINANCIAL MANAGEMENT, INC.

CRD#: 118117 / SEC#: 801-132539

RIA

Registered Investment Advisory firm - (4/28/2025 Approved)

Alaska

Registered Investment Advisory firm - (10/2/2025 Terminated)

California

Registered Investment Advisory firm - (10/31/2025 Terminated)

Louisiana

Registered Investment Advisory firm - (10/1/2025 Terminated)

Montana

Registered Investment Advisory firm - (10/1/2025 Terminated)

Texas

Registered Investment Advisory firm - (10/1/2025 Terminated)

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Contact information

Main Address

945 Technology Blvd Ste 102, Bozeman, MT 59718

Mailing Address

Phone number

(406) 587-1604

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PFM SEC FORM ADV BROCHURE EFF 2025 0325 (3/26/2025)

PFM FORM ADV BROCHURE & 2B SUPPLEMENTS EFF 2025 0324 (3/24/2025)

Regulatory assets under management

Total Number of Accounts	655
AUM (Assets Under Management)	$ 265,256,270

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/25/2025	Cover Page	Report
10/29/2024	Cover Page	Report
03/21/2024	Cover Page	Report

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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Firm Stability Insights

Douglas M. Babcock

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Menzie Babcock's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO INVESTMENTS, LLC

FIRST HEARTLAND CAPITAL, INC.

U.S. BANCORP INVESTMENTS, INC.

MUTUAL SERVICE CORPORATION

Primary Firm SEC Registration

PROFESSIONAL FINANCIAL MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/10/1994

Series 7

Date: 7/14/1994

Series 24

Date: 9/29/1995

Current Firm

PROFESSIONAL FINANCIAL MANAGEMENT, INC.

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PROFESSIONAL FINANCIAL MANAGEMENT, INC.

TRUST BUT VERIFY

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