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8 Third Street North, Great Falls, MT 59401 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2022-02-08 |
| TX | RA | APPROVED_RES | 2018-10-10 |
| CA | RA | APPROVED | 2013-11-25 |
Branch Locations
301 North Lake Suite 800, Pasadena, CA 91101 • United States
20551 North Pima Rd Suite 200, #32, Scottsdale, AZ 85255 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| D.A. Davidson & Co. | Scottsdale | AZ | 11/2013 | Present |
1) Pasadena Tournament of Roses Assn; investment related; Pasadena, CA; non-profit; Honorary Director; starting 4/11/2018; 3 hr/mo and during securities trading hours. 2) Five Acres; non-investment related; Altaderna, CA; non-profit for the care of childres and families in crisis; Director; starting 3/11/2020; 2 hr/mo; no time during securities trading hours; provide oversight and counsel as a Director. Also act as Financial Advisor to the group's 401k Plan.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-01-30 |
| S63 | Uniform Securities Agent State Law Examination | 1988-03-16 |
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