MB
Michael A. Babcock
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Glen Carbon, IL 62034
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CRD#: 4074132
MB
Professional summary
Michael Allen Babcock, who also goes by Mike A. Babcock, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Glen Carbon, Illinois and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Glen Carbon, Illinois.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Michael has worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mike A. 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.
1. BABCOCK & ASSOCIATES INC, 11 GLEN ED PROFESSIONAL PARK, GLEN CARBON, IL, 01/2001. OWNER, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL-30/WK-8/TRADING. 2. D&C LEGACY LLC, BETHALTO, IL, 05/2015. OWNER RENTAL REAL ESTATE. NIR-2/WK-0/TRADING. 3. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING. SEE EMPLOYMENT FOR START DATE. 4. BABCOCK INSURANCE & FINANCIAL SERVICES, 11 Glen Ed Professional Park, Glen Carbon IL 62034, 10/2021, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 20 HR/MONTH 20 HR/MONTH TRADING 5. BABCOCK FINANCIAL GROUP INC, 11 Glen Ed Professional Park, Glen Carbon IL 62034, 07/2020, SECURITIES BUSINESS, INV REL, 100 HR/MONTH 100 HR/MONTH TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Michael Allen 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®
NoneExperience
Current
July 1, 2019 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 11 Glen Ed Professional Park, Glen Carbon, IL 62034RIA
CRD#: 134139
Glen Carbon, IL
Current
July 1, 2019 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 11 Glen Ed Professional Park, Glen Carbon, IL 62034BD
CRD#: 39543
Glen Carbon, IL
Past
November 23, 2015 - July 25, 2019
B.B. GRAHAM & COMPANY, INC.
RIA
CRD#: 41533
Glen Carbon, IL
Past
November 23, 2015 - July 25, 2019
B.B. GRAHAM & COMPANY, INC.
BD
CRD#: 41533
Glen Carbon, IL
Past
March 7, 2013 - November 25, 2015
ALTON CAPITAL MANAGEMENT, INC.
RIA
CRD#: 123674
ALTON, IL
Past
March 7, 2013 - November 25, 2015
ALTON SECURITIES GROUP INC.
BD
CRD#: 39639
ALTON, IL
Past
June 7, 2010 - December 6, 2012
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
GLEN CARBON, IL
Past
February 9, 2010 - December 6, 2012
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
GLEN CARBON, IL
Past
December 10, 2009 - February 2, 2010
ALTON CAPITAL MANAGEMENT, INC.
RIA
CRD#: 123674
ALTON, IL
Past
September 8, 2000 - November 25, 2009
FARMERS FINANCIAL SOLUTIONS, LLC
BD
CRD#: 103863
GLEN CARBON, IL
Past
January 12, 2000 - September 8, 2000
INVESTORS BROKERAGE SERVICES, INC.
BD
CRD#: 4257
ELGIN, IL
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Illinois(7/1/2019)
IAR
Illinois(7/1/2019)
RR
Indiana(1/3/2022)
RR
Missouri(1/2/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/5/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
Phone number
(641) 472-5100
Established
Firm type
Fiscal year end
# of Employees
3,361
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Glen Carbon, IL 62034TRUST BUT VERIFY
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