DB
David W. Babat
VANGUARD MARKETING
Malvern, PA 19355
Some features on this profile are disabled
CRD#: 6359400
DB
Professional summary
David William Babat, CIMA®, who also goes by Dave Babat, David W Babat, David Babat, is a registered financial professional currently at VANGUARD MARKETING CORPORATION located in Malvern, Pennsylvania.
David is registered as a RR (Registered Representative) and started their career in finance in 2014. David has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Dave Babat | David W Babat | David Babat
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.
Grayscale Operating, LLC (Parent Company to the Firm and Grayscale Advisors, LLC); Investment Related; Stamford, CT; 06/2024; Sales Distribution; Regional VP, Market Leader; 160 Hours/Month
CRS (Client Relationship Summary) - BD
Click below to view David William Babat'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®
Experience
Current
October 22, 2025 - Present
VANGUARD MARKETING CORPORATION
Office #1: 100 Vanguard Blvd, Malvern, PA 19355BD
CRD#: 7452
Malvern, PA
Past
August 30, 2024 - September 8, 2025
GRAYSCALE ADVISORS
RIA
CRD#: 314868
Roslindale, MA
Past
August 29, 2024 - September 8, 2025
GRAYSCALE SECURITIES, LLC
BD
CRD#: 305907
STAMFORD, CT
Past
July 9, 2024 - August 29, 2024
FORESIDE FUND SERVICES, LLC
BD
CRD#: 46106
PORTLAND, ME
Past
September 16, 2014 - June 10, 2024
BLACKROCK INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 108928
Boston, MA
Past
August 6, 2014 - June 10, 2024
BLACKROCK INVESTMENTS, LLC
BD
CRD#: 38642
BOSTON, MA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/22/2025)
RR
Alaska(10/22/2025)
RR
Arizona(10/22/2025)
RR
Arkansas(10/22/2025)
RR
California(10/22/2025)
RR
Colorado(10/22/2025)
RR
Connecticut(10/22/2025)
RR
Delaware(10/22/2025)
RR
District of Columbia(10/22/2025)
RR
Florida(10/22/2025)
RR
Georgia(10/22/2025)
RR
Hawaii(10/22/2025)
RR
Idaho(10/22/2025)
RR
Illinois(10/22/2025)
RR
Indiana(10/22/2025)
RR
Iowa(10/22/2025)
RR
Kansas(10/22/2025)
RR
Kentucky(10/22/2025)
RR
Louisiana(10/22/2025)
RR
Maine(10/22/2025)
RR
Maryland(10/22/2025)
RR
Massachusetts(10/22/2025)
RR
Michigan(10/22/2025)
RR
Minnesota(10/22/2025)
RR
Mississippi(10/22/2025)
RR
Missouri(10/22/2025)
RR
Montana(10/22/2025)
RR
Nebraska(10/22/2025)
RR
Nevada(10/22/2025)
RR
New Hampshire(10/22/2025)
RR
New Jersey(10/22/2025)
RR
New Mexico(10/22/2025)
RR
New York(10/22/2025)
RR
North Carolina(10/22/2025)
RR
North Dakota(10/22/2025)
RR
Ohio(10/22/2025)
RR
Oklahoma(10/22/2025)
RR
Oregon(10/22/2025)
RR
Pennsylvania(10/22/2025)
RR
Puerto Rico(10/22/2025)
RR
Rhode Island(10/22/2025)
RR
South Carolina(10/22/2025)
RR
South Dakota(10/22/2025)
RR
Tennessee(10/22/2025)
RR
Texas(10/22/2025)
RR
Utah(10/22/2025)
RR
Vermont(10/22/2025)
RR
Virgin Islands(10/22/2025)
RR
Virginia(10/22/2025)
RR
Washington(10/22/2025)
RR
West Virginia(10/22/2025)
RR
Wisconsin(10/22/2025)
RR
Wyoming(10/22/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VM
VANGUARD MARKETING CORPORATION
VANGUARD BROKERAGE SERVICES | VANGUARD MARKETING CORPORATION
CRD#: 7452 / SEC#: , 8-21570
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
100 Vanguard Blvd, Malvern, PA 19355
Mailing Address
5951 Luckett Court Suite A1, El Paso, TX 79932-1882
Phone number
(610) 669-1000
Established
Pennsylvania since 04/21/1977
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | |
| BENCHENER, MATTHEW JOHN | CHAIRMAN, PRESIDENT, DIRECTOR, CEO-DESIGNEE | 5569805 |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BISORDI, JOHN | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 7526828 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRANCATO, MATTHEW CLARK | DIRECTOR, VICE PRESIDENT | 6220380 |
| JAMES, JOHN MARK | DIRECTOR, SENIOR VICE PRESIDENT | 5594356 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 8 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
