Brian Babcock has been an investment adviser representative at Horizon Wealth Advisors since September 2011, and is not listed among the firm’s executive officers or direct owners.
Horizon Wealth Advisors, LLC is a firm with $235M under management, 582 clients and 6 advisers across 3 offices, as of its March 2026 filing.
Brian Babcock is an Investment Advisor Representative of Horizon Wealth Advisors. He joined Horizon Wealth Advisors, LLC in September 2011. He started his career within a major insurance company's agency in Sarasota, Florida, and after 7 years left to start his own company offering insurance coverage.
- Horizon Wealth AdvisorsCurrent– present · 15 yearsLakewood Ranch, FL · Adviser representative · Firm CRD 148338
Investment adviser representative registrations
Brian Babcock is registered as an investment adviser representative in Florida, since September 2011.
- FloridaSince 21 September 2011
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 3 December 2011 |
| Series 65 | Uniform Investment Adviser Law Examination | 30 July 2011 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 20 April 2001 |
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Brian Thomas Babcock
- CRD
- 4344922
- Firm
- Horizon Wealth Advisors · CRD 148338
- Office
- Lakewood Ranch, FL
- Registration
- Investment adviser and broker registrations
- In the industry since
- April 2001
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- horizonwealthadvisors.com
Where does Brian Babcock work?
Brian Babcock is an investment adviser representative registered through Horizon Wealth Advisors, LLC since September 2011, and is not listed among the firm’s executive officers or direct owners.
Is Brian Babcock a financial advisor?
Yes. Brian Babcock has a current investment-adviser registration in Florida, through Horizon Wealth Advisors since September 2011.
How many years of experience does Brian Babcock have?
Brian Babcock has 25 years in the financial industry, since April 2001, across 1 adviser firm.
What exams has Brian Babcock passed?
Brian Babcock has passed 4 licensing exams: the Series 6, Series 65, Series 63 and Series 99TO. The earliest, the Series 6, was passed in April 2001. FINRA credited Brian Babcock with the SIE, which began in October 2018.
Where is Brian Babcock based?
Brian Babcock’s registered office is in Lakewood Ranch, FL.
Is Brian Babcock registered with FINRA?
Yes. Brian Babcock has a current broker registration, under CRD 4344922.
Source: FINRA BrokerCheck
How can I verify Brian Babcock’s record?
Search CRD 4344922 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Brian Babcock’s full registration record.