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Oleg A Babekov

CRD# 2513304·Registered 1999 - 2023
Previously Registered: Being a previously registered professional could mean that Oleg 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.

Professional Summary

Oleg A Babekov, who also goes by Alex O Babekou, Oleg Alex Babekov, was a registered financial advisor. Oleg was a previously registered financial professional and started their career in finance 1999 - 2023. Oleg had worked at 10 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Alex O Babekou, Oleg Alex Babekov

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

27 years in the financial services industry

Current & Past Employments

AVALON·CRD# 168033
RIA
Boca Raton, FL
September 17, 2021 - November 26, 2023
B. RILEY WEALTH ADVISORS, INC.·CRD# 115927
RIA
New York, NY
November 4, 2011 - March 24, 2021
NATIONAL SECURITIES CORPORATION·CRD# 7569
BD
New York, NY
September 22, 2006 - March 24, 2021
EASTBROOK CAPITAL GROUP LLC·CRD# 39781
BD
New York, NY
January 30, 2006 - May 19, 2006
JOSEPH STEVENS & CO., INC.·CRD# 35459
BD
Brooklyn, NY
February 8, 2005 - March 1, 2006
WESTROCK ADVISORS, INC.·CRD# 114338
BD
New York, NY
May 31, 2002 - March 13, 2003
CONTINENTAL BROKER-DEALER CORP.·CRD# 14048
BD
Carle Place, NY
April 19, 2001 - May 30, 2002
MERCER PARTNERS INCORPORATED·CRD# 44925
BD
New York, NY
January 25, 2001 - April 24, 2001
HAPOALIM SECURITIES USA, INC.·CRD# 266
BD
New York, NY
June 8, 2000 - February 1, 2001
MILLENNIUM SECURITIES CORP.·CRD# 31695
BD
New York, NY
May 28, 1999 - June 2, 2000

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Current Firm

AV
AVALON

AVALON | ROWE WEALTH MANAGEMENT LLC | ROWE WEALTH MANAGEMENT | ROWE WEALTH | ROWE CAPITAL MANAGEMENT LLC | C ROWE INVESTMENT ADVISORS

CRD#: 168033
Connecticut
Registered Investment Advisory firm - Connecticut (8/19/2025 Terminated)
Florida
Registered Investment Advisory firm - Florida (8/1/2014 Approved)
Louisiana
Registered Investment Advisory firm - Louisiana (6/13/2022 Approved)
Pennsylvania
Registered Investment Advisory firm - Pennsylvania (8/12/2025 Terminated)
Texas
Registered Investment Advisory firm - Texas (4/4/2016 Conditional Restricted)
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).

Contact Information

Main Address

980 North Federal Highway #110, Boca Raton, FL 33432

Phone Number

(866) 711-2836

# of Employees

3

Documents

Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

106

AUM (Assets Under Management)

$31,442,447

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Oct 2011About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 1999About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Mar 1999About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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