Bryan C. Babcock
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.
Bryan Corydon Babcock, who also goes by Bryan Babcock, was a registered financial advisor .
Bryan is a previously registered financial advisor and started their career in finance in 1997. Bryan had worked at 5 firms and has passed the Series 66, Series 65, Series 63, Series 3, Series 55, Series 7, Series 4 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
January 13, 2004 - December 14, 2006
TRADE STRATEGIES, LLC
May 30, 2003 - December 5, 2003
KIMBALL T. KISTLER INC.
April 9, 2003 - May 20, 2003
CARLIN EQUITIES, LLC
September 13, 2000 - April 2, 2003
PROTRADER SECURITIES L.P.
October 29, 1997 - September 24, 1998
INSIGHT SECURITIES & TRADING, INC.
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
Series 55
Date: 6/11/2002
Limited Representative-Equity Trader ExamCurrent firm
No current employment
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.
