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D.a. Davidson & Co. CRD 199
$41.8B regulatory AUM 1,050 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
8 Third Street North, Great Falls, MT 59401 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2015-09-02 |
| TX | RA | APPROVED_RES | 2014-12-22 |
Branch Locations
Columbia Center, 701 5Th Avenue Suite 4050, Seattle, WA 98104 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| D.A. Davidson & Co. | Seattle | WA | 02/1996 | Present |
D.A. Davidson Companies; investment related, Seattle, WA, financial services, Director; starting 10/1/2014; during securities trading hours, general oversight and board duties related to the financial services holding company.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-07-14 |
| S63 | Uniform Securities Agent State Law Examination | 1990-11-03 |
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