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RB

Robert D. Babcock

Some features on this profile are disabled
CRD#: 2741979
RB

Professional summary

Robert David Babcock MR. was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Robert is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Robert had worked at 4 firms, which includes TRUIST SECURITIES INC., J.P. MORGAN SECURITIES LLC, CANTOR FITZGERALD SECURITIES, CANTOR FITZGERALD & CO..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Robert David 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)

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

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

Past

August 8, 2006 - March 13, 2007

TRUIST SECURITIES, INC.

BD
CRD#: 6271
NEW YORK, NY
Past

January 12, 2000 - August 11, 2006

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

January 1, 1999 - January 14, 2000

CANTOR FITZGERALD SECURITIES

BD
CRD#: 19660
NEW YORK, NY
Past

November 26, 1996 - September 10, 1999

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY
Past

September 28, 1996 - November 26, 1996

CANTOR FITZGERALD SECURITIES

BD
CRD#: 19660
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/15/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 3/26/1997
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 8/26/1996
General Securities Representative Examination

Current Firm

TS
TRUIST SECURITIES, INC.
ALEXANDER KEY INVESTMENTS | TRUIST SECURITIES, INC. | SUNTRUST ROBINSON HUMPHREY, INC. | SUNTRUST ROBINSON HUMPHREY | SUNTRUST EQUITABLE SECURITIES CORPORATION | SUNTRUST EQUITABLE SECURITIES | SUNTRUST CAPITAL MARKETS, INC. | SUNTRUST CAPITAL MANAGEMENT, INC. | EQUITABLE SECURITIES CORPORATION

CRD#: 6271 / SEC#: , 8-17212

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
740 Battery Ave, Atlanta, GA 30339
Mailing Address
740 Battery Ave, Atlanta, GA 30339
Phone number
(404) 926-5600
Established
Tennessee since 07/01/1972
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
TRUIST FINANCIAL CORPORATIONPARENT COMPANY
COLEMAN, SHELLEY BRENNANAML OFFICER3163295
FARRELL, KATHLEEN ANNEBOARD MEMBER4038178
HACKETT, THOMAS PATRICKCHAIRMAN OF THE BOARD & CHIEF EXECUTIVE OFFICER2878035
HUFFSTETLER, MARKBOARD MEMBER AND CHIEF CREDIT OFFICER2830214
HUMPHREYS, ADAMSECRETARY AND CHIEF LEGAL OFFICER7866934
JESSANI, KERRYBOARD MEMBER5048754
MILLIGAN, JOHNPRINCIPAL OPERATIONS OFFICER3206391
MORRIS, DONALD ROSS JRCHIEF FINANCIAL OFFICER3231801
PAPPAS, ALBERT GEORGECHIEF COMPLIANCE OFFICER1875535

Disclosures

Regulatory Event22
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

TRUIST SECURITIES, INC.

CRD#: 6271

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