D.A. DAVIDSON & CO. of GREAT FALLS, MT is an SEC-registered investment adviser (CRD 199). Regulatory assets under management: $41.8B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities, Corporations.
Showing 25 of 75 people.
| Name | Role | Location |
|---|---|---|
| Anderson D Greg | SVP, DIRECTOR | Denver, CO |
| Marc Russell Dispense | PRESIDENT, FIXED INCOME CAPITAL MARKETS | — |
| Michael Joseph Purpura | PRESIDENT, WEALTH MANAGEMENT, DIRECTOR | — |
| Jacqueline Ann Beauprez | SVP, GENERAL COUNSEL | — |
| Lawrence Todd Martinez | CHARIMAN AND CEO, D.A. DAVIDSON COMPANIES, DIRECTOR | — |
| Rory Adam Mckinney | PRESIDENT, EQUITY CAPITAL MARKETS | — |
| Jared C Mccubbin | SVP, CHIEF COMPLIANCE OFFICER | — |
| James Lee Cronk | PRINCIPAL OPERATIONS OFFICER | — |
| Justine Milne Zadick | PRINCIPAL FINANCIAL OFFICER | — |
| Scott Michael Witeby | SVP, CHIEF FINANCIAL OFFICER, DIRECTOR | — |
| MEYER RHONDA LEE | SENIOR VP, DIRECTOR; SVP, DIRECTOR | — |
| DAVIDSON IAN BRUCE | CHAIRMAN; CHAIRMAN, DIRECTOR; CHAIRMAN EMERITUS (+2 more) | — |
| JOHNSTONE WILLIAM ADAM JR | CHAIRMAN & CHIEF EXECUTIVE OFFICER, DIRECTOR; CHIEF EXECUTIVE OFFICER, DIRECTOR; EXECUTIVE CHAIRMAN, D.A. DAVIDSON COMPANIES, DIRECTOR (+3 more) | — |
| NELSON THOMAS STEVEN | CHIEF FINANCIAL OFFICER, EXECUTIVE VICE PRESIDENT, DIRECTOR; SENIOR VICE PRESIDENT, CFO; SVP, CFO, COO, DIRECTOR (+2 more) | — |
| WILSON ARLENE MARIE | CHIEF COMPLIANCE OFFICER; COMPLIANCE REGISTERED OPTIONS PRINCIPAL (CROP); VP, DIRECTOR OF COMPLIANCE (+1 more) | — |
| MARTINEZ LAWRENCE TODD | CEO, D.A. DAVIDSON COMPANIES, DIRECTOR; CHARIMAN AND CEO, D.A. DAVIDSON COMPANIES, DIRECTOR; PRESIDENT, D.A. DAVIDSON COMPANIES (+3 more) | — |
| NICHOLS DOUGLAS BERRYMAN | VP, DIRECTOR | — |
| TSCHETTER RONALD ALLEN | PRESIDENT; PRESIDENT, DIRECTOR | — |
| BRADSHAW JAMES RUSSELL | VP, DIRECTOR | — |
| DICKSON FREDERIC HOWARD | SVP, DIRECTOR | — |
| DUGDALE BRADLEY EDWARD JR | VP, DIRECTOR | — |
| NICHOLSON THOMAS CHARLES | DIRECTOR; PRINCIPAL OPERATIONS OFFICER; SENIOR VP, CFO, DIRECTOR (+2 more) | — |
| RICE JAMES CELLO JR | SVP, DIRECTOR | — |
| SKAAR SUSAN MARIE | VP, DIRECTOR | — |
| SEARLES JAMES DOUGLAS | SENIOR REGISTERED OPTIONS PRINCIPAL (SROP); SVP, DIRECTOR | — |
Showing 10 of 14 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2022-07-25 | regulatory | DURING THE PERIOD OF OCTOBER 1, 2019 THROUGH APRIL 27, 2020 (THE "REVIEW PERIOD"), THE FIRM VIOLATED NASDAQ RULE 4613(A) BY FAILING TO MAINTAIN CONTINUOUS TWO-SIDED QUOTES IN 3,037 INSTANCES. DURING THE REVIEW PERIOD, THE FIRM ALSO VIOLATED NASDAQ RULES 3010 AND 2010A (FOR CONDUCT OCCURRING BEFORE D… | Final | $22K |
| 2020-06-15 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO REPORT TO TRACE TRANSACTIONS IN TRACE-ELIGIBLE AGENCY DEBT SECURITIES WITHIN THE TIME REQUIRED, CONSTITUTING A PATTERN OR PRACTICE OF LATE REPORTING WITHOUT EXCEPTIONAL CIRCU… | Final | $20K |
| 2019-12-02 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT PROVIDED INACCURATE OR MISLEADING STATEMENTS IN ITS ISSUE PRICE CERTIFICATES IN CONNECTION WITH MUNICIPAL OFFERINGS. THE FINDINGS STATED THAT THE FIRM ACTED AS THE SOLE UNDERWRITER FOR… | Final | $85K |
| 2019-03-11 | regulatory | IA RELEASE 40-5191 / MARCH 11, 2019: THE SECURITIES AND EXCHANGE COMMISSION DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE INSTITUTED AGAINST D.A. DAVIDSON & CO. ("RESPONDENT"). ON THE BASIS OF THIS ORDER AND RESPONDENT'S OFFER, THE COM… | Final | — |
| 2018-10-30 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT DISADVANTAGED CERTAIN RETIREMENT PLAN AND CHARITABLE ORGANIZATION CUSTOMERS THAT WERE ELIGIBLE TO PURCHASE CLASS A SHARES IN CERTAIN MUTUAL FUNDS WITHOUT A FRONT-END SALES CHARGE. THE… | Final | — |
| 2018-07-19 | regulatory | ALLEGATIONS OF VIOLATIONS OF THE VERMONT UNIFORM SECURITIES ACT & REGULATIONS BY FAILING TO HAVE ADEQUATE SYSTEMS AND WRITTEN PROCEDURES TO PREVENT A FINANCIAL ADVISOR FROM EFFECTING NINE UNREGISTERED TRANSACTIONS IN VERMONT. | Final | $60K |
| 2016-02-02 | regulatory | SEC ADMIN RELEASES 33-10019; 34-77021; FEBRUARY 2, 2016: THE SECURITIES AND EXCHANGE COMMISSION DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE, AND HEREBY ARE, INSTITUTED AGAINST D.A. DAVIDSON & CO., ("RESPONDENT"). RESPONDENT WILLFULLY… | Final | $500K |
| 2015-11-04 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IN TRANSACTIONS FOR OR WITH A CUSTOMER, THE FIRM FAILED TO USE REASONABLE DILIGENCE TO ASCERTAIN THE BEST INTER-DEALER MARKET AND FAILED TO BUY OR SELL IN SUCH MARKET SO THAT THE RESULTAN… | Final | $23K |
| 2015-10-20 | regulatory | ALLEGED VIOLATIONS OF SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULE 15C3-1(C)(2)(VII) THEREUNDER; SECTION 17A OF THE EXCHANGE ACT AND RULES 17A-3 AND 17A-5 THEREUNDER; NASD RULES 3110 AND 3010(A); AND FINRA RULES 4511 AND 2010. | Final | $80K |
| 2015-06-18 | regulatory | SEC ADMIN RELEASES 33-9842; 34-75236; JUNE 18, 2015; THE SECURITIES AND EXCHANGE COMMISSION DEEMED IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE INSTITUTED AGAINST SMITH HAYES FINANCIAL SERVICES CORPORATION ("RESPONDENT"). RESPONDENT WILLFUL… | Final | $40K |