Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Colin? Claim Your ProfileColin Thomas Babb is a registered representative at Merrill Lynch, Pierce, Fenner & Smith Inc., with over 16 years of experience in the financial services industry. Colin holds FINRA Series 66, 7 and SIE licenses and is registered in 32 states. Colin was previously with CUSO FINANCIAL SERVICES, L.P. and METLIFE SECURITIES INC. Colin is a specialist in portfolio management for individuals and businesses, and provides advisory services such as educational seminars, performance measurement reports, and selection of other advisers.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
04/08/2019 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BREA CA)
CA
10/15/2009 - 08/09/2016
CUSO FINANCIAL SERVICES, L.P. (BUENA PARK CA)
CA
03/12/2009 - 10/26/2009
METLIFE SECURITIES INC. (IRVINE CA)
CA
09/06/2007 - 12/22/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SEAL BEACH CA)
BOTH
Issued 09/28/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/05/2007
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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