Alan Jay Grossman

Employer firm

D.a. Davidson & Co. CRD 199

$41.8B regulatory AUM 1,050 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/2013 → Present
  D.A. Davidson & Co.
  Plano, TX

Previous Registrations

• 2013-11-04 → 2013-11-25
  Crowell Weedon & Co.
  Carlsbad, CA
• 1997-12-31 → 2013-11-04
  Crowell, Weedon & Co.
  Carlsbad, CA
  Carlsbad, CA

Other Businesses

1) EAC; NON-INVESTMENT RELATED; ENCINITAS, CA 98024; CONSULTING BUSINESS; OWNER; BEGINNING 1/10/2014; APPROXIMATELY 1 HR/DAY DEVOTED TO THIS ACTIVITY; NO HOURS DEVOTED TO THIS ACTIVITY DURING MARKET TRADING HOURS. 2) 4RY ELECTROSTATIC DISPERSAL SOLUTIONS; INVESTMENT RELATED; CHICAGO, IL; SPRAY DISPERSION; INVESTOR; STARTING 10/2016; NO DUTIES OR HOURS DEVOTED TO THIS ACTIVITY. 3) EES CONSULTING LLC; NON INVESTMENT RELATED; HASLET, TX 76052; LLC; OWNER/TREASURER OF BOARD; SINCE 07/01/2019; APPROX 1 HR/WEEK DURING SECURITIES TRADING HOURS; NO ACTIVE MANAGEMENT/OVERSIGHT OF STRATEGIES. 4) TALENT FORCE CONSULTING; NON-INVESTMENT RELATED; AUBREY, TX; PARTNER; START 10/25/23; 1 HR/MO; NO TIME DEVOTED DURING SECURITIES TRADING HOURS; PARTNERSHIP OF INDUSTRIAL RECRUITING.

Exams

• S66 Uniform Combined State Law Examination
  2007-08-29
• S63 Uniform Securities Agent State Law Examination
  1995-05-01