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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-08-03 |
| TX | RA | APPROVED | 2019-05-16 |
Branch Locations
258 Ushers Rd., Suite #205, Clifton Park, NY 12065-1400 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cluett Peabody & Co. Inc. | Troy | NY | 09/1985 | Present |
| Lpl Financial Llc | Clifton Park | NY | 12/1995 | Present |
(1) 11/27/06 - Babcock Investment Group, LLC - Non-Variable Insurance DBA - Babcock Investment Group, LLC - INV REL - AT REPORTED BUSINESS LOCATION - Company has a General Agency Contract with Security Mutual Life of New York And ING USA Life & Annuity Company to sell Life Insurance & Fixed Annuity Business with these Companies - 15% TIME SPENT. (2) 12/08/2006 - Kevin J. Babcock - Tax Preparation Services - Tax Prep/Accounting/CPA - NOT INV REL - AT REPORTED BUSINESS LOCATION - Tax Preparation Services for Individuals & Trusts customers - 10% TIME SPENT. (3) 01/17/2007 - NO BUSINESS NAME - TAX PREPARATION - NOT INV REL - AT REPORTED BUSINESS LOCATION - KEVIN J. BABCOCK-TAX PREPARER - 0% TIME SPENT.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1989-06-03 |
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