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RB

Robert J. Babcock

DAI SECURITIES
Costa Mesa, CA 92626
Some features on this profile are disabled
CRD#: 3238049
RB

Professional summary

Robert James Babcock, who also goes by Rob Babcock, Robert James Babcock Jr, Robert Babcock, is a registered financial professional 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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rob Babcock | Robert James Babcock Jr | Robert 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) - BD

Click below to view Robert James Babcock's CRS (Customer Relationship Summary).
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

July 22, 2024 - Present

DAI SECURITIES, LLC

Office #1: 650 Town Center Drive Suite 1400, Costa Mesa, CA 92626
BD
CRD#: 36673
Costa Mesa, CA
Past

June 26, 2023 - July 11, 2024

PREFERRED CAPITAL SECURITIES, LLC

BD
CRD#: 169719
ATLANTA, GA
Past

August 24, 2022 - June 29, 2023

COBALT CAPITAL, INC.

BD
CRD#: 136161
LAKE MARY, FL
Past

August 18, 2022 - May 30, 2024

SKYWAY CAPITAL MARKETS, LLC

BD
CRD#: 124630
TAMPA, FL
Past

January 24, 2017 - April 28, 2022

BLUE OWL SECURITIES

BD
CRD#: 283250
NEW YORK, NY
Past

February 15, 2012 - January 17, 2017

NORTHSTAR SECURITIES, LLC

BD
CRD#: 150409
GREENWOOD VILLAGE, CO
Past

January 25, 2010 - February 10, 2012

INDEPENDENCE REALTY SECURITIES, LLC.

BD
CRD#: 150161
MINNEAPOLIS, MN
Past

August 3, 2009 - November 9, 2009

U.S. SELECT SECURITIES LLC

BD
CRD#: 133082
NAPA, CA
Past

March 10, 2004 - July 24, 2009

INLAND SECURITIES CORPORATION

BD
CRD#: 15807
OAK BROOK, IL
Past

January 18, 2002 - January 28, 2004

AEI SECURITIES, INC.

BD
CRD#: 6158
ST. PAUL, MN
Past

June 14, 1999 - August 30, 2001

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

June 14, 1999 - August 30, 2001

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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
Arizona
(2/24/2025)
RR
California
(7/22/2024)
RR
Connecticut
(6/27/2025)
RR
Florida
(11/4/2025)
RR
Indiana
(5/23/2025)
RR
Iowa
(9/4/2025)
RR
Michigan
(5/19/2025)
RR
Minnesota
(7/22/2024)
RR
Missouri
(9/24/2024)
RR
Nevada
(3/25/2025)
RR
New Hampshire
(9/17/2025)
RR
New York
(6/27/2025)
RR
North Carolina
(5/19/2025)
RR
Oklahoma
(2/24/2025)
RR
Texas
(6/27/2025)
RR
Washington
(12/9/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 6/10/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/11/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/28/2010
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

DS
DAI SECURITIES, LLC
DAI SECURITIES, LLC | LEWIS FINANCIAL GROUP, L.C.

CRD#: 36673 / SEC#: , 8-47393

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

Main Address
2800 Century Parkway Ne Suite 650, Atlanta, GA 30345
Mailing Address
2800 Century Parkway Ne Suite 650, Atlanta, GA 30345
Phone number
(404) 531-7080
Established
Minnesota since 05/31/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DAI HOLDINGS, LLCMEMBER
CC CAPITAL HOLDINGS, LLCMEMBER
MICHAEL O'TOOLE REAL ESTATE, INC.MEMBER
CARTER, ANA RFINOP4424794
INGBER, MATTHEW ALANCOO3261552
MICHALETZ, CHRISTINE ELLENMANAGING MEMBER6004009
MICHALETZ, JOSEPH GERARDCEO1327534
STRAUSS, ERNEST GEORGE IVCCO4660664

Disclosures

Regulatory Event2

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

DAI SECURITIES, LLC

CRD#: 36673Costa Mesa, CA 92626

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