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CB

Christopher M. Babcock

STAR MOUNTAIN ADVISORS
NEW YORK, NY 10017
Some features on this profile are disabled
CRD#: 2995503
CB

Professional summary

Christopher Michael Babcock is a registered financial professional currently at STAR MOUNTAIN ADVISORS, LLC located in New York, New York.

Christopher is registered as a RR (Registered Representative) and started their career in finance in 1998. Christopher has worked at 6 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Christopher Michael Babcock's 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®
None

Experience

Current

March 26, 2026 - Present

STAR MOUNTAIN ADVISORS, LLC

Office #1: 2 Grand Central Tower 140 East 45th Street 30th Floor, Suite 30a, New York, NY, 10017
BD
CRD#: 153505
NEW YORK, NY
Past

May 9, 2024 - August 1, 2024

QUASAR DISTRIBUTORS, LLC

BD
CRD#: 103848
PORTLAND, ME
Past

July 2, 2007 - November 17, 2023

BNY MELLON SECURITIES CORPORATION

BD
CRD#: 231
BOSTON, MA
Past

May 11, 2005 - July 2, 2007

MELLON FUNDS DISTRIBUTOR, L.P.

BD
CRD#: 39414
BOSTON, MA
Past

December 10, 2004 - December 31, 2005

MBSC, LLC

BD
CRD#: 42430
NEW YORK, NY
Past

July 5, 2000 - December 31, 2004

BNY MELLON SECURITIES CORPORATION

BD
CRD#: 231
NEW YORK, NY
Past

January 14, 1998 - June 29, 2000

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
SMITHFIELD, RI

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(3/26/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 1/16/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 9/19/2014
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 3/21/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/12/1998
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SM
STAR MOUNTAIN ADVISORS, LLC
CADWYN POINT PARTNERS LLC | STAR MOUNTAIN ADVISORS, LLC

CRD#: 153505 / SEC#: , 8-68541

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

Main Address
2 Grand Central Tower 140 East 45th Street 30th Floor, Suite 30a, New York, NY, 10017
Mailing Address
2 Grand Central Tower 140 East 45th Street 30th Floor, Suite 30a, New York, NY, 10017
Phone number
(646) 787-0257
Established
Delaware since 10/12/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (13 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
STAR MOUNTAIN HOLDINGS, LPOWNER OF STAR MOUNTAIN ADVISORS LLC
BACH, KRISTINAFINOP/CFO4281682
ERICSON, AUSTIN SHAWNCCO7658879
POLIS, JOHN WILLIAMPRESIDENT/CEO5130204

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.

Company Information

STAR MOUNTAIN ADVISORS, LLC

CRD#: 153505New York, NY 10017

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