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Current Employers
D.A. Davidson & Co.

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2022-12-01
TX RA APPROVED 2022-12-01
  • NC RA
    APPROVED
    Since 2022-12-01
  • TX RA
    APPROVED
    Since 2022-12-01

Branch Locations

717 Green Valley Rd, Suite 200, Greensboro, NC 27408 • United States

370 Knollwood St, Suite 100, Winston Salem, NC 27103 • 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
Bb&T Securities, Llc Greensboro NC 12/2014 02/2021
Truist Investment Services, Inc. Greensboro NC 02/2021 12/2022
Truist Advisory Services, Inc. Greensboro NC 02/2021 12/2022
D.A. Davidson & Co. Greensboro NC 12/2022 Present
  • 12/2014 → 02/2021
    Bb&T Securities, Llc
    Greensboro, NC
  • 02/2021 → 12/2022
    Truist Investment Services, Inc.
    Greensboro, NC
  • 02/2021 → 12/2022
    Greensboro, NC
  • 12/2022 → Present
    Greensboro, NC
Previous Registrations
  • 2021-02-17 → 2022-12-01
    Atlanta, GA
    Greensboro, NC
  • 2014-12-12 → 2021-02-17
    Bb&T Securities, Llc
    Greensboro, NC
    Richmond, VA
  • 2010-12-01 → 2014-12-18
    Greensboro, NC
    Greensboro, NC
    Winston Salem, NC
    Greensboro, NC
  • 2008-11-26 → 2010-12-01
    Truist Investment Services, Inc.
    Greensboro, NC
    Greensboro, NC
    Greensboro, NC
    Greensboro, NC
    Greensboro, NC
    Greensboro, NC
    Greensboro, NC
Other Businesses

1) KIWANIS CLUB OF GREENSBORO: MEMBER SINCE 2007, 1701 GREENE ST GREENSBORO NC 27410, NON-PROFIT CIVIC ORGANIZATION, FUNDRAISING, MENTOR, FORMER BOARD MEMBER, 2-5 HRS PER MONTH, NOT DURING BUSINESS HOURS, NO COMPENSATION. 2) STATE OF NORTH CAROLINA NOTARY PUBLIC; NON-INVESTMENT RELATED; GREENSBORO, NC; START 6/5/23; 30 MIN/MO; NO TIME DEVOTED DURING SECURITIES TRADING HOURS; NOTARY ACTIVITIES USED ONLY FOR D.A. DAVIDSON.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-11-25
S63 Uniform Securities Agent State Law Examination 2007-10-31
  • S66 Uniform Combined State Law Examination
    2008-11-25
  • S63 Uniform Securities Agent State Law Examination
    2007-10-31
Designations
Other Names
  • Rick Class
  • Rick Class

View on SEC IAPD

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