linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Robert James Babcock

DAI Securities, LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Robert? Claim Your Profile

About Robert James Babcock

Robert Babcock is a financial advisor with DAI Securities, LLC. Robert has been in the securities industry since July 14, 2000. Robert is registered with FINRA and holds Series 7, 24, 63, 79TO and SIE licenses.

Firm Information

Robert Babcock is currently registered with DAI Securities, LLC. DAI Securities, LLC is a Limited Liability Company formed on May 31, 2019, and is registered with the SEC and in all 50 states.

Not reported

Assets Under Management

Not reported

Total Clients

25

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Robert Babcock’s Registration & Firm History

CA

07/22/2024 - Present

DAI Securities, LLC (Costa Mesa CA)

GA

06/26/2023 - 07/11/2024

PREFERRED CAPITAL SECURITIES, LLC (ATLANTA GA)

FL

08/18/2022 - 05/30/2024

SKYWAY CAPITAL MARKETS, LLC (TAMPA FL)

FL

08/24/2022 - 06/29/2023

COBALT CAPITAL, INC. (LAKE MARY FL)

NY

01/24/2017 - 04/28/2022

BLUE OWL SECURITIES (NEW YORK NY)

CO

02/15/2012 - 01/17/2017

NORTHSTAR SECURITIES, LLC (GREENWOOD VILLAGE CO)

MN

01/25/2010 - 02/10/2012

INDEPENDENCE REALTY SECURITIES, LLC. (MINNEAPOLIS MN)

CA

08/03/2009 - 11/09/2009

U.S. SELECT SECURITIES LLC (NAPA CA)

IL

03/10/2004 - 07/24/2009

INLAND SECURITIES CORPORATION (OAK BROOK IL)

MN

01/18/2002 - 01/28/2004

AEI SECURITIES, INC. (ST. PAUL MN)

MN

06/14/1999 - 08/30/2001

AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)

MN

06/14/1999 - 08/30/2001

IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)

Not sure if Robert James Babcock is right for you?

Licenses & Designations

BC

Issued 06/10/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/28/2010

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/11/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Robert James Babcock.
Not sure if Robert James Babcock is right for you?