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CFP
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CFP

Kevin Babcock

LPL Financial LLC
37 Years of Experience
Clifton Park, NY
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

Kevin Babcock is a CFP-designated registered investment advisor at LPL Financial LLC, based in Clifton Park, NY, with 37 years of industry experience. Kevin is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

258 Ushers Rd., Suite #205, Clifton Park, NY, 12065-1400

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
September 2005
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Kevin has a general agency contract with Security Mutual Life of New York and ING USA Life & Annuity Company to sell life insurance and fixed annuities, dedicating about 10-20% of his time. He also provides tax preparation services for individuals and trusts, spending about 10% of his time, and is a tax preparer, spending minimal time.

Employment History
Current Registrations
LPL Financial LLC
May 2019 - Present · 7 yrs 5 mos
LPL Financial LLCBroker
December 1995 - Present · 30 yrs 10 mos
Previous Registrations
W. S. Griffith & CO., INC.Broker
April 1994 - December 1995 · 1 yr 8 mos
Mony Securities CORP.Broker
May 1989 - June 1994 · 5 yrs 1 mo
The Mutual Life Insurance Company of New YorkBroker
May 1989 - October 1990 · 1 yr 5 mos
American Express Financial Advisors INC.Broker
March 1989 - May 1989 · 2 mos
Ids Life Insurance CompanyBroker
March 1989 - May 1989 · 2 mos
State Registrations15 states
ALAZCACTDCFLMAMSNCNJNYTXVAVTWA
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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