David Joseph Babcock

Employer firm

Equitable Advisors, LLC CRD 6627

$42.5B regulatory AUM 171,648 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Equitable Advisors, Llc

1345 Avenue Of The Americas, New York, NY 10105 • United States

Current Registrations

Authority	Category	Status	Date
PA	RA	APPROVED	2002-08-20

PA RA
APPROVED

Since 2002-08-20

Branch Locations

Quarryville, PA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Axa Advisors, Llc	New York	NY	09/1999	06/2020
Equitable Advisors, Llc	New York	NY	09/1999	Present

09/1999 → 06/2020

Axa Advisors, Llc

New York, NY
09/1999 → Present

Equitable Advisors, Llc

New York, NY

Other Businesses

1)POA, 333 W FRITZ AVE, QUARRYVILLE PA 17566, DUTIES: FULL POA, ABILITY TO MAKE ALL DECISIONS ON PARENTS BEHALF, POA IS IN PLACE BUT NOT IN USE CURRENTLY, START DATE: 9/1/15, 0 HRS PER MO, NOT INVESTMENT RELATED; 2) USING WWW.BABCOCKWEALTHMANAGEMENT TO CONDUCT EQUITABLE BUSINESS;

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2000-03-22
S63	Uniform Securities Agent State Law Examination	1990-09-14

S65 Uniform Investment Adviser Law Examination

2000-03-22
S63 Uniform Securities Agent State Law Examination

1990-09-14

View on SEC IAPD