HAROLD DAVIDSON & ASSOCIATES, INC of LOS ANGELES, CA is an SEC-registered investment adviser (CRD 110994). Regulatory assets under management: $390.5M.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Corporations, Investment cos, Other.
| Name | Role | Location |
|---|---|---|
| Harold Alan Davidson | PRESIDENT; TRUSTEE | — |
| Craig Eric Farkas | CHIEF COMPLIANCE OFFICER | — |
| Stephanie Chow | COMPLIANCE OFFICER; PORTFOLIO ADMINISTRATOR | — |
| Gina Josephine Gamboa | CHIEF COMPLIANCE OFFICER | — |
| DAVIDSON HAROLD ALAN | PRESIDENT | — |
| GAMBOA GINA JOSEPHINE | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-06-01 | regulatory | DURING THE COVID PANDEMIC HAROLD DAVIDSON & ASSOCIATES, INC. WAS SANCTIONED AND FINED BY THE SEC FOR THE LATE FILING AND DELIVERY OF THE NEWLY ADOPTED RULE 204-5 JUNE 5, 2019 FORM CRS CLIENT RELATIONSHIP SUMMARY DEADLINE OF JUNE 30, 2020. HAROLD DAVIDSON & ASSOCIATES, INC. BECAME FULLY COMPLIANT WIT… | Final | $25K |