Sterling Ky Mccarty

Current Employers

D.A. Davidson & Co.

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

Current Registrations

Authority	Category	Status	Date
AZ	RA	APPROVED	2021-08-04
TX	RA	APPROVED	2019-02-25
CO	RA	APPROVED	2018-04-20

AZ RA
APPROVED

Since 2021-08-04
TX RA
APPROVED

Since 2019-02-25
CO RA
APPROVED

Since 2018-04-20

Branch Locations

Mesa, AZ • United States

121 S Tejon St, Suite 1109, Colorado Springs, CO 80903 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Colorado Springs	CO	06/1983	04/2018
D.A. Davidson & Co.	Mesa	AZ	04/2018	Present

06/1983 → 04/2018

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Colorado Springs, CO
04/2018 → Present

D.A. Davidson & Co.

Mesa, AZ

Previous Registrations

1984-04-10 → 2018-04-24

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Colorado Springs, CO

Other Businesses

THE CATHOLIC FOUNDATION OF THE DIOCESE OF COLORADO SPRINGS, INC; NON-INVESTMENT RELATED; COLORADO SPRINGS, CO; NON-PROFIT; BOARD MEMBER; START 10/25/24; 2-4 HR/MO; NO TIME DEVOTED DURING SECURITIES TRADING HOURS; ESTABLISH, MAINTAIN AND DISTRIBUTE FUNDS FOR THE EXCLUSIVE BENEFIT OF THE DIOCESE OF COLORADO.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-01-24
S63	Uniform Securities Agent State Law Examination	1983-08-31

S65 Uniform Investment Adviser Law Examination

1994-01-24
S63 Uniform Securities Agent State Law Examination

1983-08-31

Other Names

Sterling Mccarty
Ky Mccarty

View on SEC IAPD