Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Babauta is an investment advisor representative who has been in the industry since June 2012. John is currently registered with Raymond James Financial Services Advisors, Inc. and has been associated with the firm since April 2020. John has passed the Series 6, Series 7, Series 63, Series 66 and SIE exams. John specializes in providing financial advice to individuals, businesses, and retirement plans. John is also registered as an investment advisor representative in 44 states and the District of Columbia. In addition to John's work with Raymond James, John also provides financial advice to members of First Tech Federal Credit Union.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
WA
04/13/2020 - Present
Raymond James Financial Services Advisors, Inc. (Redmond WA)
WA
02/21/2012 - 12/31/2019
CETERA INVESTMENT SERVICES LLC (FEDERAL WAY WA)
BOTH
Issued 12/30/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/23/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/22/2019
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/20/2012
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
Not sure John Babauta is the right advisor for you? Invested Better is here to help.
