John M. Babyak

WOLVERINE INVESTMENTS

Westport, CT 06880

Some features on this profile are disabled

CRD#: 4360630

Professional summary

John Michael Babyak is a registered financial advisor currently at WOLVERINE INVESTMENTS located in Westport, Connecticut.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. John has worked at 1 firm and has passed the SIE exam.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Michael Babyak'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

June 11, 2021 - Present

WOLVERINE INVESTMENTS

Office #1: 251 Riverside Avenue, Westport, CT 06880

RIA

CRD#: 106020

Westport, CT

Past

October 16, 2012 - December 31, 2020

WOLVERINE INVESTMENTS

RIA

CRD#: 106020

WESTPORT, CT

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.

Highlighted states indicate IAR registrations

IAR

Connecticut
(6/11/2021)

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.

Exams

General Industry/Product Exam

SIE

Date: 1/31/2023

Securities Industry Essentials Examination

Current Firm

WOLVERINE INVESTMENTS

WHB WOLVERINE ASSET MANAGEMENT INC | WOLVERINE INVESTMENTS

CRD#: 106020 / SEC#: 801-37177

RIA

Registered Investment Advisory firm - (10/23/2012 Terminated)

Connecticut

Registered Investment Advisory firm - (6/11/2021 Approved)

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).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Westport, CT

Mailing Address

Phone number

(203) 829-6340

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

Similar Advisors

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Philip Meese

AE WEALTH MANAGEMENT, LLC

IAR

Darien, CT

Donald Henry

CITIGROUP GLOBAL MARKETS INC.

IAR

Norwalk, CT

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

John M. Babyak

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Michael Babyak's CRS (Customer Relationship Summary).

Certified licenses

Experience

WOLVERINE INVESTMENTS

WOLVERINE INVESTMENTS

State Registrations and Notice Filings

Exams

SIE

Date: 1/31/2023

Current Firm

WOLVERINE INVESTMENTS

Contact information

Documents

Red Flags

Company Information

WOLVERINE INVESTMENTS

TRUST BUT VERIFY

Similar Advisors