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RAYMOND JOSEPH ROUND
RAY ROUND
CRD#: 2289136
IA
B
D.A. DAVIDSON & CO.CRD#: 199 283 W. FRONT STREET
SUITE 101
MISSOULA, MT 59807
SUITE 101
MISSOULA, MT 59807
0
Disclosures
32
Years of Experience
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State Registrations
B
Alabama 12/2/2022
B
Nebraska 10/20/2020
B
Alaska 3/15/2017
B
Nevada 8/23/2013
B
Arizona 3/31/1995
B
North Carolina 5/3/2011
B
Arkansas 9/9/2024
B
Ohio 12/22/2016
B
California 9/19/1996
B
Oregon 3/31/1995
B
Colorado 8/8/2007
B
Pennsylvania 6/4/2013
B
Florida 2/21/2012
B
South Carolina 10/9/2018
B
Georgia 2/20/2015
B
South Dakota 10/12/2016
B
Idaho 3/31/1995
B
Texas 8/15/2000
B
Illinois 8/3/2009
IA
Texas 10/8/2018
B
Indiana 6/1/2018
B
Utah 1/17/1996
B
Iowa 5/28/2019
B
Virginia 10/12/2016
B
Minnesota 3/31/1995
B
Washington 3/31/1995
B
Missouri 8/31/2021
B
Wisconsin 10/12/2016
B
Montana 3/31/1995
B
Wyoming 7/7/2015
IA
Montana 4/25/2002
SRO Registrations
B
B
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IA
Registered with this firm since 4/25/2002
B
Registered with this firm since 3/31/1995
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/25/2002 - 11/08/2004 | GREAT FALLS, MT | |
B | 11/24/1992 - 04/07/1995 |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.