JB
James D. Babcock
MEZZASALMA ADVISORS
Elmsford, NY 10523
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CRD#: 7961181
JB
Professional summary
James David Babcock is a registered financial advisor currently at MEZZASALMA ADVISORS located in Elmsford, New York.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2024. James has worked at 5 firms and has passed the Series 63, Series 7TO and SIE 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.
LYCEUM FINANCIAL GROUP, LLC POSITION: Wealth Management NATURE: We offer retirement planning, estate planning, tax planning. We also provide wealth advisory services for high net worth clients as well as to participants in retirement accounts (e.g., IRA) and other types of funds (e.g., estates and trusts). INVESTMENT RELATED: Yes NUMBER OF HOURS: 65 SECURITIES TRADING HOURS: 65 START DATE: 07/08/2024 ADDRESS: 570 Taxter Road, #349, Elmsford NY 10523, United States DESCRIPTION: 1) Consult with clients on planning for their financial futures (i.e., 401K and IRA); 2) Advise on asset allocation; 3) Advise on tax implications of their investment options; 4) Advise on financing for children's education; 5) Rebalance client portfolios to minimize tracking error.
CRS (Client Relationship Summary) - RIA
Click below to view James David Babcock'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®
NoneExperience
Current
September 10, 2025 - Present
MEZZASALMA ADVISORS
Office #1: 570 Taxter Road #349, Elmsford, NY 10523RIA
CRD#: 129045
Elmsford, NY
Past
September 5, 2025 - September 17, 2025
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
ELMSFORD, NY
Past
September 5, 2025 - September 17, 2025
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
ELMSFORD, NY
Past
September 3, 2024 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
ELMSFORD, NY
Past
August 19, 2024 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Elmsford, 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".
MA
MEZZASALMA ADVISORS
MEZZASALMA ADVISORS | MEZZASALMA, JOHN D. | MEZZASALMA ADVISORS, LLC
CRD#: 129045 / SEC#: 801-120613
RIA
Registered Investment Advisory firm - (3/26/2021 Approved)Connecticut
Registered Investment Advisory firm - (1/26/2018 Terminated)Florida
Registered Investment Advisory firm - (3/29/2021 Terminated)New Jersey
Registered Investment Advisory firm - (4/22/2021 Terminated)New York
Registered Investment Advisory firm - (3/29/2021 Terminated)Texas
Registered Investment Advisory firm - (3/29/2021 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
Connecticut(9/10/2025)
IAR
New Jersey(9/11/2025)
IAR
New York(9/10/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/3/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
Current Firm
MA
MEZZASALMA ADVISORS
MEZZASALMA ADVISORS | MEZZASALMA, JOHN D. | MEZZASALMA ADVISORS, LLC
CRD#: 129045 / SEC#: 801-120613
RIA
Registered Investment Advisory firm - (3/26/2021 Approved)Connecticut
Registered Investment Advisory firm - (1/26/2018 Terminated)Florida
Registered Investment Advisory firm - (3/29/2021 Terminated)New Jersey
Registered Investment Advisory firm - (4/22/2021 Terminated)New York
Registered Investment Advisory firm - (3/29/2021 Terminated)Texas
Registered Investment Advisory firm - (3/29/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
67 Apple St, Tinton Falls, NJ 07724
Mailing Address
Phone number
(732) 842-1120
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 744 |
| AUM (Assets Under Management) | $ 342,193,883 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
