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Investment Adviser Firm Summary

D.A. DAVIDSON & CO. (CRD# 199 / SEC# 8-2399, 801-45761)
Alternate Names: CROWELL, WEEDON & CO., A DIVISION OF D.A. DAVIDSON & CO. , D. A. DAVIDSON & CO. INCORPORATED , D.A. DAVIDSON & CO.

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 02/08/1994

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 12/14/2004
Alaska 07/05/2002
Arizona 07/01/2002
Arkansas 06/10/2005
California 07/01/2002
Colorado 12/19/2002
Connecticut 12/19/2002
Delaware 06/14/2005
District of Columbia 07/02/2002
Florida 07/02/2002
Georgia 07/01/2002
Hawaii 08/06/2004
Idaho 09/13/1994
Illinois 07/08/2002
Indiana 07/01/2002
Iowa 08/16/2004
Kansas 07/01/2002
Kentucky 12/20/2007
Louisiana 06/08/2005
Maine 06/08/2005
Maryland 07/01/2002
Massachusetts 04/16/2004
Michigan 12/17/2003
Minnesota 07/11/2002
Mississippi 06/08/2005
Missouri 12/19/2002
Montana 12/19/1997
Nebraska 08/06/2004
Nevada 07/01/2002
New Hampshire 12/14/2004
New Jersey 07/01/2002
New Mexico 07/01/2002
New York 12/19/2002
North Carolina 07/01/2002
North Dakota 07/01/2002
Ohio 07/01/2002
Oklahoma 06/08/2005
Oregon 12/21/2001
Pennsylvania 12/19/2002
South Carolina 06/08/2005
South Dakota 07/02/2002
Tennessee 12/15/2004
Texas 07/01/2002
Utah 09/19/1997
Vermont 06/08/2005
Virginia 07/01/2002
Washington 12/01/1994
West Virginia 12/20/2013
Wisconsin 08/06/2004
Wyoming 12/21/2017

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser