Thomas Babcock
Thomas Babcock is a registered investment advisor at LPL Financial LLC, based in Clifton Park, NY, with 44 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
306A Grooms Rd, Clifton Park, NY, 12065
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Thomas is involved in non-variable insurance since 1996 and operates under the DBA Thomas Babcock Investment Advisors, LLC since 2013. He also owns BFA Realty, LLC, a real estate rental business, dedicating minimal time to it.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
W. S. Griffith & CO., INC.Broker
Mony Securities CORP.Broker
The Mutual Life Insurance Company of New YorkBroker
Ids Life Insurance CompanyBroker
American Express Financial Advisors INC.Broker
Ids Financial Services INC.Broker
State Registrations30 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.