Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Babjak is an active investment advisor and securities representative. Richard has been in the industry since 1990 and has held several positions at various firms, including Benefit Funding Services, LLC, FFP Securities, Inc., Sunamerica Securities, Inc., and Cigna Securities, Inc. Richard currently works at Summit Financial, LLC and Midway Wealth Partners, LLC. Richard is registered to conduct business in multiple states, including Arizona, California, Colorado, Connecticut, Florida, Illinois, Indiana, Kansas, Kentucky, Louisiana, Massachusetts, Michigan, Minnesota, Montana, Nebraska, Nevada, New Hampshire, North Carolina, Oregon, South Carolina, Tennessee, Virginia, and Wisconsin. Richard has obtained licenses for Series 4, 6, 7, 22, 24, 27, 52, 53, 63, 65, 79, 99 and SIE. Richard is a Chartered Financial Consultant.
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.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
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2
IL
10/07/2024 - Present
Summit Financial, LLC (LIBERTYVILLE IL)
IL
12/07/2020 - 02/23/2022
BENEFIT FUNDING SERVICES, LLC (SCHAUMBURG IL)
MO
05/14/1993 - 09/26/1997
FFP SECURITIES, INC. (CHESTERFIELD MO)
AZ
10/03/1991 - 05/13/1993
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
PA
07/19/1990 - 10/17/1991
CIGNA SECURITIES, INC. (RADNOR PA)
IA
Issued 10/28/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/25/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/19/2002
Series 4 - Registered Options Principal Examination
BC
Issued 07/19/2000
Series 27 - Financial and Operations Principal Examination
BC
Issued 04/06/1999
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/25/1993
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/26/1992
Series 7 - General Securities Representative Examination
BC
Issued 10/19/1990
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 07/17/1990
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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