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Detailed Report
MILES BRADFORD SHANKS
CRD#: 1097468
IA
Investment Adviser
B
Broker
D.A. DAVIDSON & CO.CRD#: 199 301 NORTH LAKE
SUITE 800
PASADENA, CA 91101
Registration History
1985199019952000200520102015202020252 FIRMS2009 - 2013 (4 years)2 FIRMS2013 - 2013 (<1 year)2 FIRMS2013 - Present (11 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1986 - 2009 (22 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1984 - 1986 (2 years)BIDS MARKETING CORPORATION (CRD# 6363)1983 - 1983 (<1 year)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1997 - 2009 (11 years)
Disclosure(s)
View By:
10/30/1989
Customer Dispute
Settled
License(s)

State Registrations

B
California 11/25/2013
B
Nevada 2/24/2020
IA
California 11/25/2013
B
Oregon 11/25/2013
B
Colorado 1/6/2015
B
Pennsylvania 8/23/2023
B
Florida 11/25/2013
B
Texas 1/17/2019
B
Idaho 6/1/2016
IA
Texas 1/17/2019
B
Missouri 7/8/2019

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
D.A. DAVIDSON & CO. (CRD#:199)
301 NORTH LAKE SUITE 800, PASADENA, CA 91101
San Gabriel, CA
Registered with this firm since 11/25/2013
B
D.A. DAVIDSON & CO. (CRD#:199)
301 NORTH LAKE SUITE 800, PASADENA, CA 91101
San Gabriel, CA
Registered with this firm since 11/25/2013
Previous Registration(s)
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IA
 11/04/2013 - 11/25/2013 CROWELL WEEDON & CO. (CRD#:168622) PASADENA, CA
B
 11/04/2013 - 11/25/2013 CROWELL WEEDON & CO. (CRD#:168622) PASADENA, CA
IA
 03/27/2009 - 11/04/2013 CROWELL, WEEDON & CO. (CRD#:193) PASADENA, CA
B
 03/26/2009 - 11/04/2013 CROWELL, WEEDON & CO. (CRD#:193) PASADENA, CA
IA
 07/08/1997 - 04/15/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) LOS ANGELES, CA
B
 12/26/1986 - 04/15/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) LOS ANGELES, CA
B
 03/06/1984 - 12/04/1986 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
B
 03/21/1983 - 09/23/1983 IDS MARKETING CORPORATION (CRD#:6363)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.