Michael A. Babcock
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael August Babcock, CFP®, who also goes by Mike Babcock, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2004. Michael had worked at 2 firms and has passed the Series 66 and Series 7 exams.
Biography
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2004
Experience
April 30, 2009 - July 24, 2024
THE WEALTH CONSERVATORY
August 18, 2004 - April 30, 2009
FINANCIAL PLANNING ADVOCATES
Primary Firm SEC Registration
THE WEALTH CONSERVATORY
CRD#: 115932 / SEC#: 801-132219
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
THE WEALTH CONSERVATORY
CRD#: 115932 / SEC#: 801-132219
Contact information
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 369 |
| AUM (Assets Under Management) | $ 117,386,664 |
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.
