Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Investment Adviser Firm Summary
D.A. DAVIDSON & CO. ( CRD # 199/SEC#:801-45761,8-2399 )
CROWELL, WEEDON & CO., A DIVISION OF D.A. DAVIDSON & CO., D.A. DAVIDSON & CO., D. A. DAVIDSON & CO. INCORPORATED
View latest Form ADV filedPart 2 BrochuresPart 3 Relationship Summary

The adviser's REGISTRATION status is listed below.

This adviser is also a brokerage firm
REGISTRATION STATUS
SEC / JURISDICTION
REGISTRATION STATUS
EFFECTIVE DATE
SECApproved2/8/1994
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.

JURISDICTIONEFFECTIVE DATE
Alabama12/14/2004
Alaska7/5/2002
Arizona7/1/2002
Arkansas6/10/2005
California7/1/2002
Colorado12/19/2002
Connecticut12/19/2002
Delaware6/14/2005
District of Columbia7/2/2002
Florida7/2/2002
Georgia7/1/2002
Hawaii8/6/2004
Idaho9/13/1994
Illinois7/8/2002
Indiana7/1/2002
Iowa8/16/2004
Kansas7/1/2002
Kentucky12/20/2007
Louisiana6/8/2005
Maine6/8/2005
Maryland7/1/2002
Massachusetts4/16/2004
Michigan12/17/2003
Minnesota7/11/2002
Mississippi6/8/2005
Missouri12/19/2002
Montana12/19/1997
Nebraska8/6/2004
Nevada7/1/2002
New Hampshire12/14/2004
New Jersey7/1/2002
New Mexico7/1/2002
New York12/19/2002
North Carolina7/1/2002
North Dakota7/1/2002
Ohio7/1/2002
Oklahoma6/8/2005
Oregon12/21/2001
Pennsylvania12/19/2002
Rhode Island12/21/2021
South Carolina6/8/2005
South Dakota7/2/2002
Tennessee12/15/2004
Texas7/1/2002
Utah9/19/1997
Vermont6/8/2005
Virginia7/1/2002
Washington12/1/1994
West Virginia12/20/2013
Wisconsin8/6/2004
Wyoming12/21/2017
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
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.