Travis C. Babb
BABB WEALTH ADVISORS LLC
Flagstaff, AZ 86001
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CRD#: 5561676
Professional summary
Travis Christopher Babb, CFP®, who also goes by Travis C Babb, is a registered financial advisor currently at BABB WEALTH ADVISORS LLC located in Flagstaff, Arizona.
Travis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Travis has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Travis C Babb
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.
Travis Babb is an owner and insurance producer with Babb Financial Group, LLC, and from time to time, will offer clients advice or products in this role as a licensed insurance agent. The start date was 01/2008, and he spends 48 hours per month on it and 24 hours per month during securities trading hours. Clients should be aware that these services pay a commission or other compensation and involve a conflict of interest, as commissionable products conflict with the fiduciary duties of a registered investment adviser. Fees are not charged on assets held in insurance vehicles, and the value of the assets is not included in assets under management for fee calculation purposes. Clients are in no way required to utilize the services of any representative of BWA in connection with such individual's activities outside of BWA. In addition to commissions, insurance companies and field marketing affiliates may provide additional incentives such as conventions, conferences, or trips, marketing support, and other monetary benefits. Earned incentive trips, conventions, or conferences will not be permitted unless they are educational in manner.
CRS (Client Relationship Summary) - RIA
Click below to view Travis Christopher Babb'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®
CFP®
Start date: 2021
Experience
Current
October 19, 2018 - Present
BABB WEALTH ADVISORS LLC
Office #1: 19 W. Aspen Avenue, Flagstaff, AZ 86001RIA
CRD#: 298347
Flagstaff, AZ
Past
January 2, 2014 - October 19, 2018
INVESTMENT ADVISORS CORP
RIA
CRD#: 117531
FLAGSTAFF, AZ
Past
January 2, 2014 - October 19, 2018
BROKER DEALER FINANCIAL SERVICES CORP.
BD
CRD#: 8073
FLAGSTAFF, AZ
Past
August 17, 2010 - January 7, 2014
ON INVESTMENT MANAGEMENT CO
RIA
CRD#: 105662
FLAGSTAFF, AZ
Past
April 26, 2010 - January 7, 2014
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
FLAGSTAFF, AZ
Past
March 27, 2009 - February 23, 2010
OSAIC SERVICES, INC.
BD
CRD#: 133763
FLAGSTAFF, AZ
Past
December 22, 2008 - March 3, 2009
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SCOTTSDALE, AZ
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".
BW
BABB WEALTH ADVISORS LLC
BABB FINANCIAL GROUP, LLC | BABB WEALTH ADVISORS LLC
CRD#: 298347 / SEC#: 801-125695
RIA
Registered Investment Advisory firm - (5/18/2022 Approved)Arizona
Registered Investment Advisory firm - (6/16/2022 Terminated)Colorado
Registered Investment Advisory firm - (6/21/2022 Terminated)Louisiana
Registered Investment Advisory firm - (6/21/2022 Terminated)Texas
Registered Investment Advisory firm - (6/16/2022 Terminated)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
Arizona(10/19/2018)
IAR
Texas(4/18/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
BW
BABB WEALTH ADVISORS LLC
BABB FINANCIAL GROUP, LLC | BABB WEALTH ADVISORS LLC
CRD#: 298347 / SEC#: 801-125695
RIA
Registered Investment Advisory firm - (5/18/2022 Approved)Arizona
Registered Investment Advisory firm - (6/16/2022 Terminated)Colorado
Registered Investment Advisory firm - (6/21/2022 Terminated)Louisiana
Registered Investment Advisory firm - (6/21/2022 Terminated)Texas
Registered Investment Advisory firm - (6/16/2022 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
19 W. Aspen Avenue, Flagstaff, AZ 86001
Mailing Address
Phone number
(928) 526-2911
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 810 |
| AUM (Assets Under Management) | $ 140,938,817 |
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.
