D.A. DAVIDSON & CO.
|
|
D.A. DAVIDSON & CO.
(CRD# 199)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Great Falls, MT.
The SEC approved the firm to operate as an RIA in
Feb 1994.
In
Feb 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$17.1 Billion,
with discretion over
84%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
|
|
D.A. DAVIDSON & CO.
also reported in
Feb 2019
-
630
employees,
with
524
performing advisory functions.
-
A total of 68 office locations.
-
No registrations with foreign financial regulatory authorities.
-
NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
|
|
D.A. DAVIDSON & CO. has one or more disclosure events currently on file with the SEC.
|
|
|
|
|
|
|
|
|
|
D.A. DAVIDSON & CO. has Notice Filings with the following State Securities Authorities:
AK-Jul 2002, AL-Dec 2004, AR-Jun 2005, AZ-Jul 2002, CA-Jul 20
, CO-Dec 2002, CT-Dec 2002, DC-Jul 2002, DE-Jun 2005, FL-Jul 2
, GA-Jul 2002, HI-Aug 2004, IA-Aug 2004, ID-Sep 1994, IL-Jul 2
, IN-Jul 2002, KS-Jul 2002, KY-Dec 2007, LA-Jun 2005, MA-Apr 2
, MD-Jul 2002, ME-Jun 2005, MI-Dec 2003, MN-Jul 2002, MO-Dec 2
, MS-Jun 2005, MT-Dec 1997, NC-Jul 2002, ND-Jul 2002, NE-Aug 2
, NH-Dec 2004, NJ-Jul 2002, NM-Jul 2002, NV-Jul 2002, NY-Dec 2
, OH-Jul 2002, OK-Jun 2005, OR-Dec 2001, PA-Dec 2002, SC-Jun 2
, SD-Jul 2002, TN-Dec 2004, TX-Jul 2002, UT-Sep 1997, VA-Jul 2
, VT-Jun 2005, WA-Dec 1994, WI-Aug 2004, WV-Dec 2013, WY-Dec 2
|
|
|
|
Disclaimer:
The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
that we are aware of many instances where
RIAs provided erroneous data to the
SEC. Feel free to contact
FindingFraud.org with questions or concerns.
|
|
|
|
|
|
|
|
