Robert James Babcock
Professional Summary
Robert James Babcock, who also goes by Rob Babcock, Robert James Babcock Jr, Robert Babcock, is a registered financial advisor currently at DAI SECURITIES, LLC located in Costa Mesa, California. Robert is registered as a RR (Registered Representative) and started their career in finance in 1999. Robert has worked at 12 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Rob Babcock, Robert James Babcock Jr, Robert Babcock
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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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
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Current Firm
DAI SECURITIES, LLC | LEWIS FINANCIAL GROUP, L.C.
Contact Information
Main Address
2800 Century Parkway Ne Suite 650, Atlanta, GA 30345Mailing Address
2800 Century Parkway Ne Suite 650, Atlanta, GA 30345Phone Number
(404) 531-7080Established
Minnesota since 05/31/2019Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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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
(2/24/2025)
(7/22/2024)
(6/25/2026)
(6/27/2025)
(11/4/2025)
(12/1/2025)
(5/23/2025)
(9/4/2025)
(9/18/2026)
(6/2/2026)
(5/19/2025)
(7/22/2024)
(9/24/2024)
(6/2/2026)
(3/25/2025)
(9/17/2025)
(6/15/2026)
(6/27/2025)
(5/19/2025)
(5/13/2026)
(2/24/2025)
(7/17/2026)
(6/27/2025)
(8/4/2026)
(12/9/2024)
(6/3/2026)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Robert James Babcock's CRS (Customer Relationship Summary).
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