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Detailed Report
DANIEL MILLER BABIY
DAN BABIY, DANIEL M BABIY
CRD#: 1640438
IA
Investment Adviser
B
Broker
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCCRD#: 149018 ELIZABETH CITY, NC
RAYMOND JAMES FINANCIAL SERVICES, INC.CRD#: 6694 200 NORTH WATER STREET
SUITE 1B
ELIZABETH CITY, NC 27909
Registration History
199019952000200520102015202020252 FIRMS1987 - 1988 (<1 year)2 FIRMS2007 - 2011 (4 years)2 FIRMS2012 - Present (13 years)BRBC DAIN RAUSCHER INC. (CRD# 31194)2002 - 2007 (4 years)BRBC CENTURA SECURITIES, INC. (CRD# 36179)2000 - 2002 (1 year)BNATIONAL PLANNING CORPORATION (CRD# 29604)1995 - 1998 (3 years)BWHEAT, FIRST SECURITIES, INC. (CRD# 6124)1991 - 1993 (2 years)BTRAVELERS EQUITIES SALES, INC. (CRD# 833)1988 - 1990 (1 year)IARBC DAIN RAUSCHER INC. (CRD# 31194)2006 - 2007 (<1 year)
Disclosure(s)
View By:
1/26/2005
Customer Dispute
Settled
License(s)

State Registrations

B
Alaska 10/4/2023
IA
North Carolina 1/8/2019
B
California 9/18/2023
B
Oklahoma 1/12/2022
B
Connecticut 8/2/2023
B
Pennsylvania 6/6/2013
B
Florida 1/26/2015
B
South Carolina 9/19/2023
B
Georgia 5/11/2016
B
Texas 9/18/2023
B
Illinois 9/12/2018
B
Utah 9/19/2023
B
Kentucky 2/7/2023
B
Virginia 1/18/2012
B
Massachusetts 2/6/2023
IA
Virginia 1/23/2012
B
Montana 8/19/2024
B
Washington 9/14/2023
B
New York 9/14/2023
B
West Virginia 5/25/2023
B
North Carolina 1/19/2012
B
Wisconsin 6/18/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018)
ELIZABETH CITY, NC
Registered with this firm since 1/23/2012
B
RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694)
200 NORTH WATER STREET SUITE 1B, ELIZABETH CITY, NC 27909
Registered with this firm since 1/17/2012
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/05/2007 - 11/18/2011 DAVENPORT & COMPANY LLC (CRD#:1588) NORFOLK, VA
B
 01/05/2007 - 11/18/2011 DAVENPORT & COMPANY LLC (CRD#:1588) NORFOLK, VA
IA
 07/19/2006 - 01/18/2007 RBC DAIN RAUSCHER INC. (CRD#:31194) NORFOLK, VA
B
 10/18/2002 - 01/18/2007 RBC DAIN RAUSCHER INC. (CRD#:31194) NORFOLK, VA
B
 12/22/2000 - 10/21/2002 RBC CENTURA SECURITIES, INC. (CRD#:36179) KANNAPOLIS, NC
B
 12/21/1995 - 12/31/1998 NATIONAL PLANNING CORPORATION (CRD#:29604) LOS ANGELES, CA
B
 06/06/1991 - 12/27/1993 WHEAT, FIRST SECURITIES, INC. (CRD#:6124) CHARLOTTE, NC
B
 09/08/1988 - 07/30/1990 TRAVELERS EQUITIES SALES, INC. (CRD#:833) EL SEGUNDO, CA
B
 05/11/1987 - 03/16/1988 MML INVESTORS SERVICES, INC. (CRD#:10409)
B
 05/11/1987 - 01/02/1988 MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (CRD#:2682)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.