Dory Leslie Alvarenga

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/1994 → 08/2018
  Morgan Stanley Smith Barney
  Pasadena, CA
• 04/2019 → 10/2019
  Sagepoint Financial, Inc.
  Carlsbad, CA
• 10/2018 → 04/2019
  Zeman Global Selections
  La Jolla, CA
• 11/2019 → 12/2019
  Unemployed
  Chino, CA
• 12/2019 → Present
  D.A. Davidson & Co.
  Sparks, NV

Previous Registrations

• 2019-04-17 → 2019-11-06
  Osaic Services, Inc.
  Calabasas, CA
• 2009-06-01 → 2018-09-04
  Morgan Stanley
  Pasadena, CA
  Ontario, CA
  Santa Ana, CA
  Brea, CA
  Pasadena, CA
• 2007-03-29 → 2009-06-01
  Citigroup Global Markets Inc.
  Glendale, CA
  Glendale, CA

Other Businesses

1) DORY ALVARENGA; NON-INVESTMENT RELATED; SPARKS, NV; SOLE PROPRIETOR; START 3/4/23; 7 HR/WK; NO TIME DEVOTED DURING SECURITIES TRADING HOURS; I RUN AN ONLINE STORE THROUGH ETSY SELLING PRINT-ON-DEMAND CLOTHING AND ACCESSORIES. 2) THE TJX COMPANIES, INC; NON-INVESTMENT RELATED; SPARKS, NV; CORPORATION; RETAIL MERCHANDISE ASSOCIATE; START 7/31/26; 40 HR/MO; NO TIME DEVOTED DURING SECURITIES TRADING HOURS; I PROVIDE CUSTOMER SERVICE, POINT OF SALE AND STORE MAINTENANCE.

Exams

• S66 Uniform Combined State Law Examination
  2007-03-26
• S63 Uniform Securities Agent State Law Examination
  2004-08-03

Other Names

• Dory Leslie Osorio