Paul BabazCRD Number: 2373008
Current Firm: Oppenheimer & Company Inc.
Paul Babaz (CRD# 2373008) is an Investment Advisor Representative working at Oppenheimer & Company Inc. in Atlanta, GA and has over 29 years of experience in the finance industry.
Rollins Financial Advisors, LLC
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Raymond James & Associates, Inc.
|Oppenheimer & Company Inc.||Atlanta, GA||Oct 2019 - Current||3|
|Morgan Stanley Private Bank, National Association||New York, NY||Jan 2015 - Oct 2019||4|
|Morgan Stanley Smith Barney||Atlanta, GA||Jun 2009 - Oct 2019||10|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Aug 1993|
|S65||NASAA Investment Advisors Law Examination||Aug 1993|
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.Get Details on the FINRA Advisor Check site
Total Assets Under Management27,024MILLIONS
Total Number of Accounts30,576ACCOUNTS
Average Account Value$883,838
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Performance-based fees
- 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)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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