DB
David W. Babb
STONE BRIDGE ASSET MANAGEMENT
CHATTANOOGA, TN 37405
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CRD#: 4522145
DB
Professional summary
David Wayne Babb is a registered financial advisor currently at STONE BRIDGE ASSET MANAGEMENT, LLC located in Chattanooga, Tennessee.
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. David has worked at 4 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
As of August 2015, David has been a Partner with Stone Bridge Capital Group, LLC located at 240 Forest Avenue, Suite 101, Chattanooga, TN 37405. Stone Bridge Capital Group, LLC serves as the general partner of the Stone Bridge Opportunities Fund, L.P. This is an investment-related activity. David spends less than 10% of his time on this activity during business hours or otherwise. David is a licensed insurance agent with the State of Tennessee. This is an investment-related activity conducted at Stone Bridge Asset Management's principal place of business. David has maintained an insurance license since 2002 and spends less than 3 hours per month on insurance-related activities. As of June 2015, David Babb has been a 50% owner of B&B Walnut Hill Partnership, a non-investment related entity. This company owns the property located at 240 Forest Avenue, Suite 101, Chattanooga, TN 37405, which is Stone Bridge Asset Management's and B&B Walnut Hill Partnership's primary business location. David serves as a Partner and spends less than 1 hour a month on activities associated with this business, which are not during securities trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view David Wayne Babb's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
December 22, 2011 - Present
STONE BRIDGE ASSET MANAGEMENT, LLC
Office #1: 240 Forest Avenue Suite 101, Chattanooga, TN 37405RIA
CRD#: 159334
CHATTANOOGA, TN
Past
August 11, 2010 - March 19, 2012
ASHDON INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 130180
CHATTANOOGA, TN
Past
September 14, 2005 - December 4, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CHATTANOOGA, TN
Past
September 13, 2005 - December 4, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CHATTANOOGA, TN
Past
September 15, 2004 - August 19, 2005
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
CHATTANOOGA, TN
Past
September 15, 2004 - August 19, 2005
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
ATLANTA, GA
Past
July 11, 2002 - August 30, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CHATTANOOGA, TN
Past
June 5, 2002 - August 30, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Alabama(1/30/2018)
IAR
Georgia(12/18/2012)
IAR
Tennessee(12/22/2011)
IAR
Texas(7/23/2014)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/14/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Current Firm
SB
STONE BRIDGE ASSET MANAGEMENT, LLC
STONE BRIDGE ASSET MANAGEMENT, LLC
CRD#: 159334 / SEC#:
Alabama
Registered Investment Advisory firm - (1/30/2018 Approved)Georgia
Registered Investment Advisory firm - (12/17/2012 Approved)Tennessee
Registered Investment Advisory firm - (12/22/2011 Approved)Texas
Registered Investment Advisory firm - (7/23/2014 Conditional Restricted)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
240 Forest Avenue Suite 101, Chattanooga, TN 37405
Mailing Address
Phone number
(423) 605-4645
Established
Firm type
Fiscal year end
# of Employees
3
Regulatory assets under management
| Total Number of Accounts | 526 |
| AUM (Assets Under Management) | $ 82,362,796 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2025 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
STONE BRIDGE ASSET MANAGEMENT, LLC
CRD#: 159334Chattanooga, TN 37405TRUST BUT VERIFY
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