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Detailed Report
JULIE BABCOCK
JULIE SHIPMAN
CRD#: 1241534
IA
Investment Adviser
B
Broker
SNOWDEN CAPITAL ADVISORS LLCCRD#: 157299 225 SOUTH LAKE AVENUE
SUITE 1020
PASADENA, CA 91101
SNOWDEN ACCOUNT SERVICES LLCCRD#: 149794 225 SOUTH LAKE AVENUE
SUITE 650
PASADENA, CA 91101
Registration History
20002002200420062008201020122014201620182020202220242026IASNOWDEN CAPITAL ADVISORS LLC (CRD# 157299)2015 - Present (10 years)BSNOWDEN ACCOUNT SERVICES LLC (CRD# 149794)2012 - Present (12 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2000 - 2012 (12 years)IASNOWDEN CAPITAL ADVISORS LLC (CRD# 157299)2012 - 2014 (2 years)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2004 - 2012 (8 years)
License(s)

State Registrations

B
Arizona 8/10/2015
B
Michigan 11/27/2012
B
California 11/26/2012
B
Missouri 9/11/2015
IA
California 1/14/2015
B
Montana 10/28/2021
B
Colorado 11/30/2012
B
Nevada 3/12/2013
IA
Colorado 7/13/2015
B
New York 12/11/2020
B
Florida 10/20/2015
B
Ohio 4/3/2025
B
Hawaii 7/30/2024
B
Texas 5/16/2022
B
Idaho 11/27/2012
B
Utah 2/10/2014
B
Louisiana 8/22/2023
B
Virginia 11/16/2023
B
Massachusetts 11/27/2012
B
Washington 11/27/2012
IA
Massachusetts 12/22/2017
B
Wyoming 11/27/2012

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
SNOWDEN CAPITAL ADVISORS LLC (CRD#:157299)
225 SOUTH LAKE AVENUE SUITE 1020, PASADENA, CA 91101
Registered with this firm since 1/14/2015
B
SNOWDEN ACCOUNT SERVICES LLC (CRD#:149794)
225 SOUTH LAKE AVENUE SUITE 650, PASADENA, CA 91101
Registered with this firm since 11/26/2012
Previous Registration(s)
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IA
 11/28/2012 - 12/31/2014 SNOWDEN CAPITAL ADVISORS LLC (CRD#:157299) PASADENA, CA
IA
 06/15/2004 - 11/28/2012 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PASADENA, CA
B
 08/29/2000 - 11/28/2012 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PASADENA, CA
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.