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Current Employers
D.A. Davidson & Co.

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2024-12-17
TX RA APPROVED_RES 2018-08-22
WA RA APPROVED 2005-11-11
  • FL RA
    APPROVED
    Since 2024-12-17
  • TX RA
    APPROVED_RES
    Since 2018-08-22
  • WA RA
    APPROVED
    Since 2005-11-11

Branch Locations

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

St Johns, FL • 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. Seattle WA 11/2005 Present
Previous Registrations
Other Businesses

RENTAL PROPERTY; INVESTMENT RELATED; KIRKLAND, WA; PARTNERSHIP; PARTNER/CO-OWNER; STARTING 1/1/1992; APPROX. 2 HR/YEAR; NO TIME DEVOTED TO THE ACTIVITY DURING SECURITIES TRADING HOURS; DUTIES INCLUDE PAYING BILLS, COLLECT RENT, AND MAINTENANCE OF PROPERTY.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-05-23
S63 Uniform Securities Agent State Law Examination 1991-12-02
  • S65 Uniform Investment Adviser Law Examination
    1994-05-23
  • S63 Uniform Securities Agent State Law Examination
    1991-12-02
Other Names
  • Tom Johnson
  • Thomas Johnson

View on SEC IAPD

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