Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Babcock has been in the financial services industry since 1981. Thomas is a registered representative of LPL Financial LLC and is currently registered in New York and Texas. Thomas has been with LPL Financial LLC since 1995. Thomas holds a Series 7, Series 22, Series 24, Series 6, and Series 63 licenses. Thomas also holds a SIE license.
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
NY
06/28/2002 - Present
LPL Financial LLC (CLIFTON PARK NY)
CT
10/15/1993 - 11/15/1995
W. S. GRIFFITH & CO., INC. (HARTFORD CT)
NY
04/14/1989 - 10/14/1993
MONY SECURITIES CORP. (NEW YORK NY)
NY
04/14/1989 - 10/15/1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK (NEW YORK NY)
NA
08/28/1981 - 04/01/1989
AMERICAN EXPRESS FINANCIAL ADVISORS INC.
NA
08/28/1981 - 04/01/1989
IDS LIFE INSURANCE COMPANY
NA
08/28/1981 - 12/24/1986
IDS FINANCIAL SERVICES INC.
BC
Issued 03/01/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/25/1996
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/17/1987
Series 7 - General Securities Representative Examination
BC
Issued 12/17/1984
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 08/18/1981
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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