Brian T. Babcock

HORIZON WEALTH ADVISORS

Lakewood Ranch, FL

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CRD#: 4344922

Professional summary

Brian Thomas Babcock is a registered financial advisor currently at HORIZON WEALTH ADVISORS located in Lakewood Ranch, Florida and PURSHE KAPLAN STERLING INVESTMENTS located in Lakewood Ranch, Florida.

Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Brian has worked at 4 firms and has passed the Series 63, Series 65, Series 99TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1) HORIZON WEALTH ADVISORS, LLC; INVESTMENT RELATED; 9040 TOWN CENTER PARKWAY LAKEWOOD RANCH, FL 34202; RIA/IAR; START DATE: 09/2011; APPROX. 50 HRS/MO 2) FIXED INSURANCE; INVESTMENT RELATED; 9040 TOWN CENTER PARKWAY LAKEWOOD RANCH, FL 34202; SALE OF LIFE, DISABILITY INSURANCE POLICIES AND ANNUITIES, LONG TERM CARE, AND MEDICARE SUPPLEMENTS; START DATE: 01/2001; APPROX 60 HRE/MO 3) PKS FINANCIAL SERVICES; INVESTMENT RELATED; 80 STATE ST, ALBANY, NY 12207; 9/12/2011-PRESENT; AGENT, FIXED INSURANCE SALES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Thomas 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

September 21, 2011 - Present

HORIZON WEALTH ADVISORS

RIA

CRD#: 148338

Lakewood Ranch, FL

Current

September 12, 2011 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 9040 Town Center Pkwy, Lakewood Ranch, FL 34202

CRD#: 35747

Lakewood Ranch, FL

Past

January 17, 2007 - September 16, 2011

QUESTAR CAPITAL CORPORATION

CRD#: 43100

BRADENTON, FL

Past

April 23, 2001 - January 22, 2007

SIGNATOR INVESTORS, INC.

CRD#: 468

SARASOTA, FL

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".

HORIZON WEALTH ADVISORS

HORIZON WEALTH ADVISORS | HORIZON WEALTH ADVISORS, LLC

CRD#: 148338 / SEC#: 801-100378

RIA

Registered Investment Advisory firm - (6/24/2015 Approved)

Florida

Registered Investment Advisory firm - (7/6/2015 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/8/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

California
(6/12/2020)

Colorado
(12/1/2023)

Delaware
(4/1/2025)

Florida
(9/12/2011)

IAR

Florida
(9/21/2011)

Illinois
(2/27/2025)

Massachusetts
(4/16/2025)

New Jersey
(10/22/2019)

Pennsylvania
(11/7/2018)

South Carolina
(12/4/2023)

Texas
(4/1/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 12/3/2011

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/30/2011

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 4/20/2001

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

HORIZON WEALTH ADVISORS

HORIZON WEALTH ADVISORS | HORIZON WEALTH ADVISORS, LLC

CRD#: 148338 / SEC#: 801-100378

RIA

Registered Investment Advisory firm - (6/24/2015 Approved)

Florida

Registered Investment Advisory firm - (7/6/2015 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/8/2015 Terminated)

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Contact information

Main Address

Lakewood Ranch, FL

Mailing Address

9040 Town Center Parkway, Lakewood Ranch, FL 34202

Phone number

(941) 362-0161

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HORIZON WEALTH ADV PART 2A (3/12/2025)

Regulatory assets under management

Total Number of Accounts	522
AUM (Assets Under Management)	$ 216,986,506

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.

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Advisor Monitoring

Firm Stability Insights

Brian T. Babcock

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Thomas Babcock's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

QUESTAR CAPITAL CORPORATION

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

HORIZON WEALTH ADVISORS

State Registrations and Notice Filings

Exams

Series 63

Date: 12/3/2011

Series 65

Date: 7/30/2011

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 6

Date: 4/20/2001

FINRA

Current Firm

HORIZON WEALTH ADVISORS

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HORIZON WEALTH ADVISORS

TRUST BUT VERIFY

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