Vanessa Sophia Sainz

Employer firm

D.a. Davidson & Co. CRD 199

$41.8B regulatory AUM 1,050 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers

D.A. Davidson & Co.

8 Third Street North, Great Falls, MT 59401 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2019-10-04
TX	RA	APPROVED_RES	2019-10-04

CA RA
APPROVED

Since 2019-10-04
TX RA
APPROVED_RES

Since 2019-10-04

Branch Locations

La Verne, CA • United States

697 E. Foothill Boulevard, Suite D, Claremont, CA 91711 • United States

Disclosures

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.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
D.A. Davidson & Co.	Claremont	CA	08/2013	Present

08/2013 → Present

D.A. Davidson & Co.

Claremont, CA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2019-10-03

S66 Uniform Combined State Law Examination

2019-10-03

Other Names

Vanessa Sophia Garcia
Vanessa Sophia Barela

View on SEC IAPD