DAVENPORT & COMPANY LLC of RICHMOND, VA is an SEC-registered investment adviser (CRD 1588). Regulatory assets under management: $24.7B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed, Performance, Commissions, Other.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities, Investment cos.
Showing 25 of 117 people.
| Name | Role | Location |
|---|---|---|
| Scott H Wilson | SVP, DIRECTOR | Seattle, WA |
| Scott Everett Wilson | SVP, DIRECTOR | — |
| Edward Trigg Jr Brown | DIRECTOR; EVP, DIRECTOR | — |
| Lucy Williams Hooper | DIRECTOR; EXECUTIVE VP, DIRECTOR | — |
| Robert Francis Mizell | DIRECTOR; EVP, DIRECTOR | — |
| Ann Minornuckols Richmond | DIRECTOR, TREASURER, AND PRINCIPAL OPERATIONS OFFICER; SVP, MANAGING DIRECTOR, TREASURER, AND PRINCIPAL OPERATIONS OFFICER | — |
| David Peter Rose | DIRECTOR; SVP, DIRECTOR | — |
| Henry Lee Iii Valentine | DIRECTOR; SVP, DIRECTOR | — |
| Coleman Iii Wortham | CHAIRMAN, DIRECTOR | — |
| John Paul Iv Ackerly | DIRECTOR; SVP, DIRECTOR | — |
| William Randolph Iv Barksdale | DIRECTOR; MANAGING DIRECTOR | — |
| Richard Edward Iii Dolan | DIRECTOR; MANAGING DIRECTOR | — |
| Timothy Stewart Taylor | DIRECTOR; MANAGING DIRECTOR | — |
| Courtney Edward Rogers | DIRECTOR; SVP, DIRECTOR | — |
| James Edward Crawley | DIRECTOR; MANAGING DIRECTOR | — |
| Sean James Allburn | DIRECTOR; MANAGING DIRECTOR | — |
| David Charles Anderson | DIRECTOR | — |
| Kenneth Stuart Gregory | DIRECTOR; SVP, MANAGING DIRECTOR | — |
| Eugene Massie Jr Valentine | DIRECTOR; MANAGING DIRECTOR | — |
| Edin Nmn Terzimehic | ROSFP; VP, ROSFP | — |
| Joseph Walter Paucke | DIRECTOR; SVP, DIRECTOR | — |
| Kevin George Jr Boll | DIRECTOR; SVP, DIRECTOR | — |
| George Levin Smith | DIRECTOR; SVP, DIRECTOR | — |
| Irving Lee Iv Chapman | PRESIDENT, CEO, DIRECTOR | — |
| William Robertson Beverley Hershey | DIRECTOR, CFO, FINOP AND PRINCIPAL FINANCIAL OFFICER; SVP, DIRECTOR, CFO, FINOP AND PRINCIPAL FINANCIAL OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2017-12-27 | regulatory | IT WAS ALLEGED THAT DURING THE REVIEW PERIOD DAVENPORT DID NOT ESTABLISH A SYSTEM REASONABLY DESIGNED TO FULLY COMPLY WITH FINRA RULE 3110, 2010 (NASD RULE 3010 FOR CONDUCT PRIOR TO DECEMBER 1, 2014) RELATED TO SUPERVISION OF CONSOLIDATED REPORTS; AND IT WAS ALLEGED THAT DAVENPORT DID NOT FULLY COMP… | Final | $115K |
| 2016-11-02 | regulatory | IT WAS ALLEGED THAT DURING THE REVIEW PERIOD THE FIRM FAILED TO REPORT REPORTABLE ORDER EVENTS AND FAILED TO COMPLY WITH RELATED SUPERVISORY REQUIREMENTS. | Final | $15K |
| 2014-03-10 | regulatory | AFTER VOLUNTARILY SELF REPORTING CERTAIN INFORMATION TO THE SECURITIES AND EXCHANGE COMMISSION (SEC) AND WITHOUT ADMITTING OR DENYING THE FINDINGS, DAVENPORT CONSENTED TO THE ENTRY OF AN ORDER BY THE SEC OF ADMINISTRATIVE AND CEASE AND DESIST PROCEEDINGS PURSUANT TO SECTION 8A OF THE SECURITIES ACT… | Final | $80K |
| 2011-07-26 | regulatory | NSD RULE 3360 - FINRA ALLEGED OVER-REPORTING OF SHORT INTEREST POSITIONS. | Final | $8K |
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