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Detailed Report
DAVID JOSEPH BABCOCK
CRD#: 2091138
IA
Investment Adviser
B
Broker
EQUITABLE ADVISORS, LLCCRD#: 6627 PARADISE, PA
Registration History
19901995200020052010201520202025IAEQUITABLE ADVISORS, LLC (CRD# 6627)2002 - Present (22 years)BEQUITABLE ADVISORS, LLC (CRD# 6627)1990 - Present (34 years)BTHE EQUITABLE LIFE ASSURANCE S... (CRD# 4039)1990 - 2000 (9 years)
License(s)

State Registrations

B
California 9/21/2012
IA
Idaho 9/19/2024
IA
California 9/25/2012
B
Maryland 7/17/1998
B
Delaware 7/10/2009
IA
Maryland 10/7/2010
IA
Delaware 6/20/2011
B
New Jersey 4/20/1998
B
Florida 10/20/2020
IA
New Jersey 4/2/2015
IA
Florida 10/23/2020
B
Pennsylvania 9/17/1990
B
Idaho 9/19/2024
IA
Pennsylvania 8/20/2002

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
EQUITABLE ADVISORS, LLC (CRD#:6627)
PARADISE, PA
Registered with this firm since 7/30/2002
B
EQUITABLE ADVISORS, LLC (CRD#:6627)
PARADISE, PA
Registered with this firm since 9/7/1990
Previous Registration(s)
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B
 09/07/1990 - 01/05/2000 THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (CRD#:4039) NEW YORK, NY
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.