Individual Firm
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Ariel Elana Joseph
Ariel Elana Luna
CRD#: 6347393
IA
B
D.A. DAVIDSON & CO.CRD#: 199 12 BELLWETHER WAY
SUITE 238
BELLINGHAM, WA 98225
SUITE 238
BELLINGHAM, WA 98225
0
Disclosures
7
Years of Experience
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State Registrations
B
Arizona 7/22/2021
B
Ohio 7/22/2021
B
California 7/22/2021
B
Oregon 7/22/2021
B
Colorado 7/22/2021
B
Texas 7/22/2021
B
Florida 7/22/2021
B
Virginia 7/22/2021
B
Iowa 1/5/2024
B
Washington 7/22/2021
B
Massachusetts 7/22/2021
IA
Washington 7/22/2021
B
Nevada 2/21/2023
B
Wyoming 11/1/2022
SRO Registrations
B
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 7/22/2021
B
Registered with this firm since 7/22/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/27/2017 - 07/26/2021 | BELLINGHAM, WA | |
B | 06/17/2017 - 07/26/2021 | BELLINGHAM, WA |
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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.