Michael Allen Babcock

Employer firm

Cambridge Investment Research Advisors, Inc. CRD 134139

$139B regulatory AUM 68,815 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Market timing

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2013 → 06/2019
  Alton Capital Management Inc.
  Alton, IL
• 11/2015 → 06/2019
  B. B. Graham & Company
  Orange, CA
• 12/2009 → Present
  Babcock And Associates
  Glen Carbon, IL
• 07/2019 → Present
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA
• 06/2019 → Present
  Cambridge Investment Research, Inc.
  Fairfield, IA

Previous Registrations

• 2015-11-23 → 2019-07-25
  B.B. Graham & Company, Inc.
  Glen Carbon, IL
  Orange, CA
• 2013-03-07 → 2015-11-25
  Alton Capital Management, Inc.
  Alton, IL
• 2010-06-07 → 2012-12-06
  Mml Investors Services, Llc
  Chesterfield, MO
  Glen Carbon, IL
• 2009-12-10 → 2010-02-02
  Alton Capital Management, Inc.
  Alton, IL

Other Businesses

1. BABCOCK & ASSOCIATES INC, 11 GLEN ED PROFESSIONAL PARK, GLEN CARBON, IL, 01/2001. OWNER, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL-30/WK-8/TRADING. 2. D&C LEGACY LLC, BETHALTO, IL, 05/2015. OWNER RENTAL REAL ESTATE. NIR-2/WK-0/TRADING. 3. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING. SEE EMPLOYMENT FOR START DATE. 4. BABCOCK INSURANCE & FINANCIAL SERVICES, 11 Glen Ed Professional Park, Glen Carbon IL 62034, 10/2021, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 20 HR/MONTH 20 HR/MONTH TRADING 5. BABCOCK FINANCIAL GROUP INC, 11 Glen Ed Professional Park, Glen Carbon IL 62034, 07/2020, SECURITIES BUSINESS, INV REL, 100 HR/MONTH 100 HR/MONTH TRADING

Exams

• S65 Uniform Investment Adviser Law Examination
  2009-12-09
• S63 Uniform Securities Agent State Law Examination
  2000-03-25

Other Names

• Mike A. Babcock
• Michael Allen Babcock