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Roberto Javier Morales

D.A. Davidson & Co.

Los Angeles, CA

Seattle, WA

CRD 4540968

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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

AuthorityCategoryStatusDate
CA RA APPROVED 2020-02-18
  • CA RA
    APPROVED
    Since 2020-02-18

Branch Locations

Los Angeles, CA • United States

Columbia Center, 701 5Th Avenue Suite 4050, Seattle, WA 98104 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
D.A. Davidson & Co. Los Angeles CA 11/2013 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-02-18
S63 Uniform Securities Agent State Law Examination 2014-03-27
  • S65 Uniform Investment Adviser Law Examination
    2020-02-18
  • S63 Uniform Securities Agent State Law Examination
    2014-03-27
Other Names
  • Roberto Jayier Morales
  • Roberto Javier Morales

View on SEC IAPD

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