Jesse Stephen Babich
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT
STIFEL, NICOLAUS & COMPANY, INCORPORATED
NYLIFE SECURITIES LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT
STIFEL, NICOLAUS & COMPANY, INCORPORATED
NYLIFE SECURITIES LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT
STIFEL, NICOLAUS & COMPANY, INCORPORATED
NYLIFE SECURITIES LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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
WELLS FARGO CLEARING SERVICES, LLC
GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT
STIFEL, NICOLAUS & COMPANY, INCORPORATED
NYLIFE SECURITIES LLC
Years of Experience
24 years in the financial services industry
Current & Past Employments
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT
STIFEL, NICOLAUS & COMPANY, INCORPORATED
NYLIFE SECURITIES LLC
Current Firm
EDUCATOR'S FINANCIAL SERVICES, INC. | EFS ADVISORS LLC | EFS ADVISORS
Contact Information
Main Address
1995 East Rum River Drive S, Cambridge, MN 55008Phone Number
(763) 689-9023# of Employees
59SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
29,438AUM (Assets Under Management)
$2,402,605,047Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT
STIFEL, NICOLAUS & COMPANY, INCORPORATED
NYLIFE SECURITIES LLC
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.
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT
STIFEL, NICOLAUS & COMPANY, INCORPORATED
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
EDUCATOR'S FINANCIAL SERVICES, INC. | EFS ADVISORS LLC | EFS ADVISORS
State Registrations and Notice Filings
(2/19/2024)
(8/9/2010)
(1/15/2014)
(2/16/2024)
(11/3/2020)
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jul 2010About the Series 6 examSRO Registrations
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT
STIFEL, NICOLAUS & COMPANY, INCORPORATED
NYLIFE SECURITIES LLC
CRS (Client Relationship Summary) - RIA
Click below to view Jesse Stephen Babich's CRS (Customer Relationship Summary).
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT
STIFEL, NICOLAUS & COMPANY, INCORPORATED
NYLIFE SECURITIES LLC


