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Current Employers
D.A. Davidson & Co.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2018-10-10
NE RA APPROVED 2012-04-20
  • TX RA
    APPROVED_RES
    Since 2018-10-10
  • NE RA
    APPROVED
    Since 2012-04-20

Branch Locations

450 Regency Parkway Suite 400, Omaha, NE 68114 • United States

Omaha, NE • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
D.A. Davidson & Co. Omaha NE 03/2012 Present
Previous Registrations
  • 2006-04-03 → 2012-03-29
    Smith Hayes Advisers Inc
    Omaha, NE
    Lincoln, NE
  • 2005-12-16 → 2006-03-28
    New England Securities
    Omaha, NE
Other Businesses

Eagle Run West HOA; non-investment related; Omaha, NE; Home Owners Association; Treasurer; Starting 07/27/2021; approx 1 hr/mo; no time devoted to the activity during securities trading hours; duties include collecting dues and paying bills.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-12-05
S63 Uniform Securities Agent State Law Examination 2004-11-16
  • S65 Uniform Investment Adviser Law Examination
    2005-12-05
  • S63 Uniform Securities Agent State Law Examination
    2004-11-16

View on SEC IAPD

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