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
Detailed Report
JEFFREY MICHAEL SEMRAD
CRD#: 4343370
IA
Investment Adviser
B
Broker
D.A. DAVIDSON & CO.CRD#: 199 115 CANOPY STREET
SUITE 400
LINCOLN, NE 68508
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2008 - 2009 (1 year)2 FIRMS2009 - 2016 (7 years)2 FIRMS2016 - Present (8 years)BA. G. EDWARDS & SONS, INC. (CRD# 4)2001 - 2008 (6 years)BUFS SECURITIES, L.L.C. (CRD# 104050)2001 - 2001 (<1 year)IAA. G. EDWARDS & SONS, INC. (CRD# 4)2002 - 2008 (6 years)
License(s)

State Registrations

B
Arizona 7/25/2016
IA
Nebraska 7/29/2016
B
Arkansas 7/25/2016
B
New York 8/17/2016
B
California 7/25/2016
B
Oregon 7/25/2016
B
Colorado 7/25/2016
B
South Dakota 10/19/2016
B
Florida 7/25/2016
B
Texas 11/13/2024
B
Iowa 7/25/2016
IA
Texas 11/13/2024
B
Minnesota 7/25/2016
B
Virginia 7/25/2016
B
Missouri 7/25/2016
B
Washington 7/25/2016
B
Nebraska 7/25/2016

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)
115 CANOPY STREET SUITE 400, LINCOLN, NE 68508
Registered with this firm since 7/29/2016
B
D.A. DAVIDSON & CO. (CRD#:199)
115 CANOPY STREET SUITE 400, LINCOLN, NE 68508
Registered with this firm since 7/25/2016
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/02/2009 - 07/28/2016 SMITH HAYES ADVISERS INC (CRD#:110776) LINCOLN, NE
B
 03/27/2009 - 07/25/2016 SMITH HAYES FINANCIAL SERVICES CORPORATION (CRD#:17059) LINCOLN, NE
IA
 01/01/2008 - 03/30/2009 WACHOVIA SECURITIES, LLC (CRD#:19616) LINCOLN, NE
B
 01/01/2008 - 03/30/2009 WACHOVIA SECURITIES, LLC (CRD#:19616) LINCOLN, NE
B
 11/28/2001 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) LINCOLN, NE
IA
 01/22/2002 - 01/01/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) LINCOLN, NE
B
 03/26/2001 - 11/14/2001 UFS SECURITIES, L.L.C. (CRD#:104050) LINCOLN, NE
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.