Charles E. Babin

BOSTON RESEARCH AND MANAGEMENT

MANCHESTER, MA 01944

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CRD#: 9509

Professional summary

Charles Edward Babin is a registered financial advisor currently at BOSTON RESEARCH AND MANAGEMENT, INC. located in Manchester, Massachusetts.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1970. Charles has worked at 4 firms and has passed the Series 63, Series 3, Series 1 and Series 40 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 Charles Edward Babin'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 19, 2000 - Present

BOSTON RESEARCH AND MANAGEMENT, INC.

Office #1: 40 Beach Street Suite 200, Manchester, MA 01944

RIA

CRD#: 107643

MANCHESTER, MA

Past

October 2, 1997 - October 19, 1999

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

CRD#: 30107

BOSTON, MA

Past

February 15, 1996 - February 11, 1997

NATWEST SECURITIES CORPORATION

CRD#: 18238

NEW YORK, NY

Past

January 8, 1970 - December 31, 1995

H.C.WAINWRIGHT & CO., LLC

CRD#: 375

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".

BOSTON RESEARCH AND MANAGEMENT, INC.

BOSTON RESEARCH & MANAGEMENT INC | BOSTON RESEARCH AND MANAGEMENT, INC.

CRD#: 107643 / SEC#: 801-39603

RIA

Registered Investment Advisory firm - (7/31/1991 Approved)

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

Massachusetts
(1/19/2000)

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.

Exams

State Security Law Exam

Series 63

Date: 10/28/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 11/8/1995

National Commodity Futures Examination

General Industry/Product Exam

Series 1

Date: 12/16/1969

Registered Representative Examination

Principal/Supervisory Exam

Series 40

Date: 1/30/1975

Registered Principal Examination

Current Firm

BOSTON RESEARCH AND MANAGEMENT, INC.

BOSTON RESEARCH & MANAGEMENT INC | BOSTON RESEARCH AND MANAGEMENT, INC.

CRD#: 107643 / SEC#: 801-39603

RIA

Registered Investment Advisory firm - (7/31/1991 Approved)

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Contact information

Main Address

40 Beach Street Suite 200, Manchester, MA 01944-1464

Mailing Address

Phone number

(978) 526-9700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BOSTON RESEARCH & MANAGEMENT FORM ADV PART 2 (1/23/2025)

Regulatory assets under management

Total Number of Accounts	501
AUM (Assets Under Management)	$ 627,077,384

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Charles E. Babin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Edward Babin's CRS (Customer Relationship Summary).

Certified licenses

Experience

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

NATWEST SECURITIES CORPORATION

H.C.WAINWRIGHT & CO., LLC

Primary Firm SEC Registration

BOSTON RESEARCH AND MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/28/1991

Series 3

Date: 11/8/1995

Series 1

Date: 12/16/1969

Series 40

Date: 1/30/1975

Current Firm

BOSTON RESEARCH AND MANAGEMENT, INC.

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BOSTON RESEARCH AND MANAGEMENT, INC.

TRUST BUT VERIFY

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