Jesse S. Babich

ADVANCED ADVISOR GROUP

Duluth, MN 55811

Some features on this profile are disabled

CRD#: 4493074

Professional summary

Jesse Stephen Babich is a registered financial advisor currently at ADVANCED ADVISOR GROUP, LLC located in Duluth, Minnesota and EFS ADVISORS located in Duluth, Minnesota.

Jesse is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Jesse has worked at 3 firms and has passed the Series 63, Series 66, SIE, Series 6 and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jesse Stephen Babich'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

January 15, 2014 - Present

ADVANCED ADVISOR GROUP, LLC

Office #1: 639 E Central Entrance, Duluth, MN 55811

RIA

CRD#: 140393

Duluth, MN

Current

January 15, 2014 - Present

EFS ADVISORS

Office #1: 639 E Central Entrance, Duluth, MN 55811

RIA

CRD#: 115211

Duluth, MN

Current

July 16, 2010 - Present

ADVANCED ADVISOR GROUP, LLC

Office #1: 639 E Central Entrance, Duluth, MN 55811

RIA

CRD#: 140393

Duluth, MN

Past

February 28, 2002 - May 22, 2003

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

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".

EFS ADVISORS

EDUCATOR'S FINANCIAL SERVICES, INC. | EFS ADVISORS LLC | EFS ADVISORS

CRD#: 115211 / SEC#: 801-62857

RIA

Registered Investment Advisory firm - (3/11/2004 Approved)

Iowa

Registered Investment Advisory firm - (6/29/2004 Terminated)

North Dakota

Registered Investment Advisory firm - (7/26/2004 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

Michigan
(2/19/2024)

Minnesota
(8/9/2010)

IAR

Minnesota
(1/15/2014)

IAR

Virginia
(2/16/2024)

Wisconsin
(11/3/2020)

IAR

Wisconsin
(2/19/2024)

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: 8/6/2010

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 3/22/2002

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/15/2010

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7

Date: 2/27/2002

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

EFS ADVISORS

EDUCATOR'S FINANCIAL SERVICES, INC. | EFS ADVISORS LLC | EFS ADVISORS

CRD#: 115211 / SEC#: 801-62857

RIA

Registered Investment Advisory firm - (3/11/2004 Approved)

Iowa

Registered Investment Advisory firm - (6/29/2004 Terminated)

North Dakota

Registered Investment Advisory firm - (7/26/2004 Terminated)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

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

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

Contact information

Main Address

1995 East Rum River Drive S, Cambridge, MN 55008

Mailing Address

Phone number

(763) 689-9023

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EFS ADV PART 2 BROCHURE (3/3/2026)

Regulatory assets under management

Total Number of Accounts	29,438
AUM (Assets Under Management)	$ 2,402,605,047

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

Annabelle Lee

FARMERS FINANCIAL SOLUTIONS, LLC

Westlake Village, CA

Danielle Barrios

MORGAN STANLEY

IAR

Beverly Hills, CA

Ryan John Pegas

SANTANDER SECURITIES LLC

BOSTON, MA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jesse S. Babich

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jesse Stephen Babich's CRS (Customer Relationship Summary).

Certified licenses

Experience

ADVANCED ADVISOR GROUP, LLC

EFS ADVISORS

ADVANCED ADVISOR GROUP, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

EFS ADVISORS

State Registrations and Notice Filings

Exams

Series 63

Date: 8/6/2010

Series 66

Date: 3/22/2002

SIE

Date: 10/1/2018

Series 6

Date: 7/15/2010

Series 7

Date: 2/27/2002

FINRA

Current Firm

EFS ADVISORS

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EFS ADVISORS

TRUST BUT VERIFY

Similar Advisors