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8 Third Street North, Great Falls, MT 59401 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-08-26 |
| UT | RA | APPROVED | 2018-09-26 |
Branch Locations
95 S State St Suite 1500, Salt Lake City, UT 84111 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Alpine Securities Corporation | Salt Lake City | UT | 05/2014 | 05/2018 |
| D.A. Davidson & Co. | Salt Lake City | UT | 06/2018 | Present |
1) ERIN LUI; NON-INVESTMENT REALTED; SALT LAKE CITY, UT; NOTARY; START 8/3/22; 1 HR/MO DURING SECURITIES TRADING HOURS; NOTARIZE DOCUMENTS FOR CLIENTS AS NEEDED. 2) ERIN LUI; NON-INVESTMENT RELATED; SALT LAKE CITY, UT; YOUTUBE; VIDEO PUBLISHER; START 1/11/23; 3 HR/ WK; NO TIME DEVOTED DURING SECURITIES TRADING HOURS; EDIT VIDEOS AND PUBLISH THEM ON YOUTUBE. 3) ERIN LUI; NON-INVESTMENT RELATED; SALT LAKE CITY, UT; EBAY; START 1/11/23; 1-2 HR/WK; NO TIME DEVOTED DURING SECURITIES TRADING HOURS; LIST ITEMS ON EBAY FOR SALE. 4) CIRCA 56, LLC; NON-INVESTMENT RELATED; SALT LAKE CITY, UT; MEMBER; START 12/1/25; 10 HR/MO; NO TIME DEVOTED DURING SECURITIES TRADING HOURS; SELL MERCHANDISE ONLINE.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-09-25 |
| S63 | Uniform Securities Agent State Law Examination | 2012-10-16 |
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