Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Phillips Babcock is a financial advisor at LPL Financial LLC. John has been in the financial services industry since 2002. John has experience working with a variety of clients, including high-net-worth individuals, corporations, and pension plans. John has held previous roles at HSBC Securities (USA) Inc., BANC of America Investment Services, Inc., UST Securities Corp., and BNY Investment Center Inc. John holds the Series 7, Series 24, and Series 63 licenses. John is also a registered representative in New Jersey.
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.
Consulting and other non-discretionary advisory services
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.
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2
NJ
03/21/2014 - Present
LPL Financial LLC (BEDMINSTER NJ)
NY
10/08/2008 - 01/13/2014
HSBC SECURITIES (USA) INC. (NEW YORK NY)
NY
02/29/2008 - 04/10/2008
BANC OF AMERICA INVESTMENT SERVICES, INC. (NEW YORK NY)
NY
09/08/2005 - 03/03/2008
UST SECURITIES CORP. (NEW YORK NY)
NY
02/14/2002 - 08/02/2005
BNY INVESTMENT CENTER INC. (NEW YORK NY)
BC
Issued 03/26/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/19/2002
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/13/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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