John Babu

Current Employers

Employment History

• 09/2009 → 12/2023
  Texas State Comptroller Of Public Accounts
  Houston, TX
• 01/2022 → 06/2024
  Principal Securities Inc
  Sugar Land, TX
• 09/2008 → 12/2023
  Wiseview Financial Services
  Sugar Land, TX
• 10/2023 → Present
  Jjb Cpa Group Pllc
  Stafford, TX
• 08/2024 → 09/2025
  Avantax Investment Services Inc.
  Stafford, TX
• 08/2024 → 09/2025
  Avantax Advisory Services
  Stafford, TX
• 08/2024 → 09/2025
  Avantax Insurance Agency, Llc
  Stafford, TX
• 09/2025 → Present
  Cetera Wealth Services, Llc
  Stafford, TX
• 09/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2024-08-22 → 2025-09-05
  Avantax Advisory Services
  Stafford, TX
  Stafford, TX
  Dallas, TX
• 2022-05-03 → 2024-06-12
  Principal Securities, Inc.
  Sugar Land, TX
  Houston, TX
  Sugar Land, TX
• 2017-05-02 → 2022-04-20
  Wiseview Financial Services
  Sugar Land, TX

Other Businesses

1)JJB CPA GROUP PLLC POSITION: Managing Member NATURE: CPA Service including book-keeping and tax preparation, payroll and consulting INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 10/17/2023 ADDRESS: 11104 W AIRPORT BLVD, 213, STAFFORD TX 77477, United States DESCRIPTION: Prepare books of accountsPrepare financial statementsPrepare federal tax returns,Prepare payroll services, Provide business related consulting 2) JJB CPA GROUP PLLC POSITION: MANAGING MEMBER NATURE: Develop and maintain strong relationships with clients, ensuring their accounting, tax, and advisory needs are met effectively.Lead and manage the firm's practice areas, ensuring alignment with overall business objectives and industry trends.?Oversee the quality of services provided, ensuring that audits, tax returns, and other financial statements comply with relevant accounting standards and regulations.?Implement and monitor internal controls and procedures to maintain the firm's compliance with professional and ethical standards.? INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 20 START DATE: 10/17/2023 ADDRESS: 11104 W AIRPORT BLVD, 213, STAFFORD TX 77477, United States DESCRIPTION: Develop and maintain relationships with clients by understanding their financial goals, risk tolerance, and investment preferences.?Create comprehensive financial plans that address clients' long-term goals, including retirement planning, estate planning, and tax strategies.Provide tailored investment advice and recommend financial products and strategies that align with clients' objectives.?Manage investment portfolios by selecting and monitoring assets such as stocks, bonds, mutual funds, and alternative investments.?Ensure compliance with regulatory requirements and industry standards, including maintaining accurate documentation and reporting.? 3. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 06/2022, APX NUMBER OF HOURS PER WEEK: 2, NOT DURING TRADING HOURS, POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT, BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS;

Exams

• S63 Uniform Securities Agent State Law Examination
  2022-03-05
• S65 Uniform Investment Adviser Law Examination
  2017-04-25

Designations

Other Names

• John Babu
• John Vazhuthanappallil Babu