James Babineaux, financial advisor Albuquerque NM
81 score

James Babineaux

CRD Number: 1323951
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

James Babineaux (CRD# 1323951) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Albuquerque, NM and has over 31 years of experience in the finance industry.

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Company Name Location Dates Years
Bank Of America,na Albuquerque, NM Dec 2009 - Current 7
Merrill Lynch Albuquerque, NM Dec 2007 - Current 9
Excel Staffing Albuquerque, NM Jun 2007 - Dec 2007 < 1
Quest Nine, Inc. Albuquerque, NM Nov 2006 - Jun 2007 < 1
Excel Staffing Albuquerque, NM Aug 2006 - Nov 2006 < 1
Alcaps Albuquerque, NM Mar 2004 - Aug 2006 2
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Dec 1984
S66 NASAA Uniform Combined State Law Examination May 2008
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Judgments / Liens
Get Details on the FINRA Advisor Check site
Contact Info for James G. Babineaux
Phone Number: 800-637-7455
Registered State(s):
  • NM
  • TX
By the Numbers
  • Total Assets Under Management
    575,342
    MILLIONS
  • Total Number of Accounts
    1,715,259
    ACCOUNTS
  • Average Account Value
    $335,425
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
81

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