James David Babcock

Current Employers

Employment History

• 07/2024 → Present
  Lyceum Financial Group
  Elmsford, NY
• 01/2024 → 04/2024
  Censullo, Gupta & Associates
  Armonk, NY
• 10/2023 → 12/2023
  Mittler, Mercaldo & Braun
  Danbury, CT
• 07/2023 → 09/2023
  Dennis Cpa
  Quincy, MA
• 05/2024 → 06/2024
  Unemployed
  Ridgefield, CT
• 10/2021 → 07/2023
  Block Advisors
  Kansas City, MO
• 01/2019 → 11/2021
  Babcock Financial Advisors
  Ridgefield, CT
• 04/2016 → 12/2018
  Manual Life/John Hancock
  Boston, MA
• 08/2024 → 09/2025
  Avantax Investment Services Inc.
  Elmsford, NY
• 09/2025 → Present
  Cetera Wealth Services, Llc
  Elmsford, NY
• 09/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 07/2025 → Present
  Mezzasalman Advisors
  Tinton Falls, NJ

Previous Registrations

• 2025-09-05 → 2025-09-17
  Cetera Investment Advisers Llc
  Elmsford, NY
• 2024-08-19 → 2025-09-05
  Avantax Advisory Services
  Elmsford, NY
  Dallas, TX

Other Businesses

LYCEUM FINANCIAL GROUP, LLC POSITION: Wealth Management NATURE: We offer retirement planning, estate planning, tax planning. We also provide wealth advisory services for high net worth clients as well as to participants in retirement accounts (e.g., IRA) and other types of funds (e.g., estates and trusts). INVESTMENT RELATED: Yes NUMBER OF HOURS: 65 SECURITIES TRADING HOURS: 65 START DATE: 07/08/2024 ADDRESS: 570 Taxter Road, #349, Elmsford NY 10523, United States DESCRIPTION: 1) Consult with clients on planning for their financial futures (i.e., 401K and IRA); 2) Advise on asset allocation; 3) Advise on tax implications of their investment options; 4) Advise on financing for children's education; 5) Rebalance client portfolios to minimize tracking error.

Exams

• S63 Uniform Securities Agent State Law Examination
  2022-09-08

Designations