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Detailed Report
ERIC VAUGHN GARRISON
CRD#: 2468824
IA
Investment Adviser
B
Broker
D.A. DAVIDSON & CO.CRD#: 199 2901 DOUGLAS BLVD.
SUITE 255
ROSEVILLE, CA 95661
Registration History
19952000200520102015202020252 FIRMS2002 - 2004 (1 year)2 FIRMS2013 - 2019 (6 years)2 FIRMS2019 - Present (5 years)BMIDAMERICA FINANCIAL SERVICES,... (CRD# 47351)2011 - 2012 (1 year)BFIRST UNION SECURITIES, INC. (CRD# 19616)1997 - 2002 (4 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1994 - 1997 (3 years)IAFIRST UNION SECURITIES, INC. (CRD# 19616)1999 - 2002 (3 years)
License(s)

State Registrations

B
Arizona 9/19/2019
B
Nebraska 4/15/2024
B
California 9/19/2019
B
Nevada 9/19/2019
IA
California 9/19/2019
B
New Hampshire 2/18/2025
B
Colorado 1/31/2022
B
North Carolina 9/19/2019
B
Florida 8/28/2023
B
Ohio 7/5/2022
B
Hawaii 2/18/2025
B
Oregon 2/18/2025
B
Idaho 8/6/2021
B
Tennessee 3/7/2023
B
Illinois 7/13/2020
B
Texas 9/19/2019
B
Iowa 2/18/2025
IA
Texas 9/19/2019
B
Maryland 7/25/2024
B
Utah 2/18/2025
B
Massachusetts 2/18/2025
B
Virginia 11/8/2024
B
Michigan 2/18/2025
B
Washington 1/8/2020
B
Missouri 2/18/2025
B
Wisconsin 2/18/2025

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)
2901 DOUGLAS BLVD. SUITE 255, ROSEVILLE, CA 95661
Registered with this firm since 9/19/2019
B
D.A. DAVIDSON & CO. (CRD#:199)
2901 DOUGLAS BLVD. SUITE 255, ROSEVILLE, CA 95661
Registered with this firm since 9/19/2019
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 05/01/2013 - 09/23/2019 MORGAN STANLEY (CRD#:149777) ROSEVILLE, CA
B
 04/30/2013 - 09/23/2019 MORGAN STANLEY (CRD#:149777) ROSEVILLE, CA
B
 10/18/2011 - 12/31/2012 MIDAMERICA FINANCIAL SERVICES, INC. (CRD#:47351)
FINRA expelled the firm on 05/10/2016
JOPLIN, MO
IA
 05/01/2002 - 03/05/2004 RBC DAIN RAUSCHER INC. (CRD#:31194) ROSEVILLE, CA
B
 05/01/2002 - 03/05/2004 RBC DAIN RAUSCHER INC. (CRD#:31194) NEW YORK, NY
IA
 02/26/1999 - 05/08/2002 FIRST UNION SECURITIES, INC. (CRD#:19616) FOLSOM, CA
B
 12/05/1997 - 05/08/2002 FIRST UNION SECURITIES, INC. (CRD#:19616) ST. LOUIS, MO
B
 05/06/1994 - 12/02/1997 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
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.