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Detailed Report
STUART NG
CRD#: 2473311
IA
Investment Adviser
B
Broker
D.A. DAVIDSON & CO.CRD#: 199 301 NORTH LAKE
SUITE 800
PASADENA, CA 91101
Registration History
19952000200520102015202020252 FIRMS2001 - 2024 (23 years)2 FIRMS2024 - Present (<1 year)BSUNAMERICA SECURITIES, INC. (CRD# 20068)2000 - 2001 (<1 year)BHORNOR, TOWNSEND & KENT, INC. (CRD# 4031)1995 - 2000 (5 years)BNYLIFE SECURITIES INC. (CRD# 5167)1995 - 1995 (<1 year)BEMMETT A LARKIN COMPANY, INC. (CRD# 6625)1994 - 1994 (<1 year)
License(s)

State Registrations

B
Arizona 10/10/2024
B
Nebraska 10/10/2024
B
California 10/10/2024
B
Nevada 10/10/2024
IA
California 10/11/2024
B
New Mexico 10/10/2024
B
Colorado 10/10/2024
B
New York 10/10/2024
B
Connecticut 10/10/2024
B
Ohio 12/16/2024
B
Florida 10/10/2024
B
Oregon 10/10/2024
B
Georgia 10/10/2024
B
Pennsylvania 10/10/2024
B
Hawaii 10/10/2024
B
South Carolina 10/10/2024
B
Indiana 10/10/2024
B
Tennessee 11/14/2024
B
Louisiana 10/10/2024
B
Texas 10/10/2024
B
Maryland 10/10/2024
IA
Texas 10/10/2024
B
Massachusetts 10/10/2024
B
Utah 10/10/2024
B
Michigan 10/10/2024
B
Virginia 10/10/2024
B
Mississippi 10/10/2024
B
Washington 10/10/2024
B
Montana 10/10/2024
B
Wyoming 10/10/2024

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
Registered with this firm since 10/10/2024
B
D.A. DAVIDSON & CO. (CRD#:199)
301 NORTH LAKE SUITE 800, PASADENA, CA 91101
Registered with this firm since 10/10/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/04/2001 - 10/24/2024 LPL FINANCIAL LLC (CRD#:6413) BURBANK, CA
B
 03/27/2001 - 10/24/2024 LPL FINANCIAL LLC (CRD#:6413) BURBANK, CA
B
 05/30/2000 - 04/12/2001 SUNAMERICA SECURITIES, INC. (CRD#:20068) PHOENIX, AZ
B
 04/17/1995 - 05/22/2000 HORNOR, TOWNSEND & KENT, INC. (CRD#:4031) CONSHOHOCKEN, PA
B
 01/29/1995 - 04/17/1995 NYLIFE SECURITIES INC. (CRD#:5167) NEW YORK, NY
B
 04/08/1994 - 11/07/1994 EMMETT A LARKIN COMPANY, INC. (CRD#:6625) SAN FRANCISCO, CA
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.