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
Austin James Alcaine
CRD#: 6210401
IA
Investment Adviser
B
Broker
D.A. DAVIDSON & CO.CRD#: 199 2901 DOUGLAS BLVD.
SUITE 255
ROSEVILLE, CA 95661
Registration History
2022AprJulOct2023AprJulOct2024AprJulOct2025AprJulOct2026IAD.A. DAVIDSON & CO. (CRD# 199)2023 - Present (2 years)BD.A. DAVIDSON & CO. (CRD# 199)2022 - Present (2 years)
License(s)

State Registrations

B
Alabama 10/14/2024
B
Nevada 3/17/2023
B
Alaska 12/24/2024
B
New Jersey 10/31/2024
B
Arizona 3/17/2023
B
New York 8/1/2023
B
California 1/3/2023
B
North Carolina 12/24/2024
IA
California 1/3/2023
B
Oklahoma 12/24/2024
B
Colorado 3/15/2023
B
Oregon 3/17/2023
B
Delaware 12/24/2024
B
Tennessee 2/12/2024
B
Florida 3/17/2023
B
Texas 3/17/2023
B
Hawaii 12/24/2024
IA
Texas 3/17/2023
B
Idaho 3/17/2023
B
Washington 3/17/2023
B
Louisiana 12/24/2024
B
Wisconsin 12/24/2024
B
Maine 12/24/2024
B
Wyoming 12/24/2024
B
Massachusetts 9/25/2024

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)
2901 DOUGLAS BLVD. SUITE 255, ROSEVILLE, CA 95661
Registered with this firm since 1/3/2023
B
D.A. DAVIDSON & CO. (CRD#:199)
2901 DOUGLAS BLVD. SUITE 255, ROSEVILLE, CA 95661
Registered with this firm since 10/11/2022
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.