VP, Director of Capital Markets Compliance

0000027182-23-000001.txt : 20230215 0000027182-23-000001.hdr.sgml : 20230215 20230215125035 ACCESSION NUMBER: 0000027182-23-000001 CONFORMED SUBMISSION TYPE: MA/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20230117 DATE AS OF CHANGE: 20230215 FILER: COMPANY DATA: COMPANY CONFORMED NAME: D.A. DAVIDSON & CO. CENTRAL INDEX KEY: 0000027182 IRS NUMBER: 810139474 STATE OF INCORPORATION: MT FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: MA/A SEC ACT: 1934 Act SEC FILE NUMBER: 867-01235 FILM NUMBER: 23634649 BUSINESS ADDRESS: STREET 1: 8 THIRD STREET NORTH CITY: GREAT FALLS STATE: MT ZIP: 59401-3104 BUSINESS PHONE: 303-764-5743 MAIL ADDRESS: STREET 1: P.O. BOX 5015 CITY: GREAT FALLS STATE: MT ZIP: 59403-5015 FORMER COMPANY: FORMER CONFORMED NAME: D A DAVIDSON & CO /BD DATE OF NAME CHANGE: 20020308 FORMER COMPANY: FORMER CONFORMED NAME: DAVIDSON D A & CO /MT/ DATE OF NAME CHANGE: 19980417 FORMER COMPANY: FORMER CONFORMED NAME: DAVIDSON D A & CO DATE OF NAME CHANGE: 19950206 MA/A 1 primary_doc.xml MA/A 0000027182 XXXXXXXX Janet Smith 208-388-4237 jsmith@dadco.com D.A. DAVIDSON & CO. 199 81-0139474 866-00093-00 867-01235 008-02399 199 801-45761 199 8 THIRD STREET NORTH GREAT FALLS MT 59401-3104 406-727-4200 Add 701 5th Avenue, Suite 4050 Seattle WA 98104 206-389-8000 206-389-8037 Add 1550 Market Street, Suite 300 Denver CO 80202 303-764-6000 303-764-5770 Add 800 W 47th St, Suite 512 Kansas City MO 64112 816-360-2270 Add 14241 Dallas Pkwy, Suite 665 Dallas TX 75254 214-687-0870 214-678-0871 Add 450 Regency Parkway, Suite 400 Omaha NE 68114 402-397-5777 402-392-7908 Y P.O. BOX 5015 GREAT FALLS MT 59403-5015 www.dadavidson.com Jared Curtis McCubbin

1550 Market Street Suite 300 Denver CO 80202

303-764-6020 CMcCubbin@dadco.com Jacqueline Ann Beauprez VP, Director of Capital Markets Compliance

1550 Market Street Suite 300 Denver CO 80202

303-764-5743 jbeauprez@dadco.com Add D.A. Davidson & Co. 1550 Market Street, Suite 300 Denver CO 80202 303-764-6000 303-764-5770 Deal files, engagement letters, disclosure documents, written correspondence, complaints, advertising. Add D.A. Davidson & Co. 701 5th Avenue, Ste. 4050 Seattle WA 98104 206-389-8000 206-389-8020 deal files, complaints, advertising, correspondence files. Add D.A. Davidson & Co. 450 Regency Parkway, Suite 400 Omaha NE 68114 402-397-5777 402-392-7908 Deal files, engagement letters, disclosure documents, written correspondence, complaints, advertising. Add D.A. Davidson & Co. 800 W. 47th St., Suite 512 Kansas City MO 64112 816-360-2270 Deal files, engagement letters, disclosure documents, written correspondence, complaints, advertising. Add D.A. Davidson & Co. 14241 Dallas Pkwy, Suite 665 D Dallas TX 75254 214-687-0870 214-678-0871 Deal files, engagement letters, disclosure documents, written correspondence, complaints, advertising. Davidson Investment Advisors, Inc. Y Securites and Exchange Commission 801-10883 D.A. Davidson Trust Company Y Office of the Comptroller of Currency none Davidson Fixed Income Management, Inc. Y Securities and Exchange Commission 801-62264 D.A. Davidson Companies N September MT 05-01-1935 N 1411 43 43 0 0 144 Municipal Entities Non-profit organizations Corporations or other businesses Other Hospitals, School Districts, Utilities Companies 0 0 0 Not Applicable Hourly Charges Fixed Fees Contingent Fees Not Applicable Advice Insurance Of MS Advice Investment Of Proceeds MS Advice ME Investments Advice ME Other Investments Advice Guaranteed IC Advice On Selection Brokerage Of MEI Y Y Y Y Y N Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser Trust Company 3 Add Investment Adviser Davidson Fixed Income Management, Inc. Investment Adviser N Y N Add Trust Company D.A. Davidson Trust Company Trust Company N Y N Add Investment Adviser Davidson Investment Advisers, Inc. Investment Adviser N Y N Y Y N N Y N Y Y Y Y Y Y Y N N Item 1.I Location of Books and Records. D.A. Davidson has additional offices where books and records, including deal files, engagement letters, disclosure documents, written correspondence, complaints and advertising are located. The offices are located at: 601 W Riverside, Ste 800, Spokane, WA 99201; 1300 SW 5th Ave, Ste 1950, Portland, OR 97201; 515 Locust Te, Ste 200, Des Moines, IA 50309; 1101 E Main St, Ste 301, Bozeman, MT 59715; 3750 W. Main St., Ste. 132, Norman, OK 73072; 3017 Douglas Blvd., Ste. 300, Roseville, CA 95661; 227 W. Monroe St., Ste. 5250, Chicago, IL 60606; and 757 Third Ave, Suite 1902, New York, NY 10017; 401 S Boston Ave, Suite 2520, Tulsa, OK 74103; 14241 Dallas Pkwy, Ste 600, Dallas, TX 75254; 8 Third St N, Great Falls, MT 59401; . N N N N Y Y N Y Y N Y N Y N N Y N N N N N N N N N Y D.A. Davidson Companies N 81-0439153 Financial Holding Company 05-01-1986 E Y Lawrence Todd Martinez Chief Executive Officer of D.A. Davidson Companies, Director 02-01-2022 NA Y 4596308 Michael Joseph Purpura President, Wealth Management, Director 10-01-2014 NA Y 2095576 Jacqueline Ann Beauprez Senior Vice President, General Counsel 06-01-2017 NA Y 4075012 Jacqueline Ann Beauprez Chief Compliance Officer 04-02-2018 NA Y 4075012 Thomas Charles Nicholson Principal Operations Officer 10-01-2018 NA Y 1301932 Marc Russell Dispense President, Fixed Income Capital Markets 03-28-2019 NA Y 4655410 Scott Michael Witeby SVP, Chief Financial Officer, Director 07-02-2019 NA Y 5198925 RORY ADAM MCKINNEY PRESIDENT EQUITY CAPITAL MARKETS 10-01-2022 NA Y 4735577 Employee Stock Ownership Plan and Trust D.A. Davidson Trust Company N 81-0330104 Trustee 09-01-2001 C N D.A. Davidson Companies Employee Stock Ownership Plan and Trust N 81-6032703 Shareholder 09-01-2001 C N D.A. Davidson Companies N 81-0439153 Financial Holding Company 05-01-1986 E Y Lawrence Todd Martinez Chief Executive Officer of D.A. Davidson Companies, Director 02-01-2022 NA Y 4596308 Michael Joseph Purpura President, Wealth Management, Director 10-01-2014 NA Y 2095576 Jacqueline Ann Beauprez Senior Vice President, General Counsel 06-01-2017 NA Y 4075012 Delete Jacqueline Ann Beauprez Chief Compliance Officer 04-02-2018 NA Y 4075012 Thomas Charles Nicholson Principal Operations Officer 10-01-2018 NA Y 1301932 Marc Russell Dispense President, Fixed Income Capital Markets 03-28-2019 NA Y 4655410 Scott Michael Witeby SVP, Chief Financial Officer, Director 07-02-2019 NA Y 5198925 RORY ADAM MCKINNEY PRESIDENT EQUITY CAPITAL MARKETS 10-01-2022 NA Y 4735577 NewAdd Jared Curtis McCubbin SBP, Chief Compliance Officer 01-09-2023 NA Y 4969077 Employee Stock Ownership Plan and Trust D.A. Davidson Trust Company N 81-0330104 Trustee 09-01-2001 C N D.A. Davidson Companies Employee Stock Ownership Plan and Trust N 81-6032703 Shareholder 09-01-2001 C N 9-E2 D.A. Davidson & Co. 199 1684786 9-E2 D.A. Davidson & Co. 199 1684785 9-E2 D.A. Davidson & Co. 199 1684783 9-E2 D.A. Davidson & Co. 199 1684782 9-E2 D.A. Davidson & Co. 199 1684779 9-E2 D.A. Davidson & Co. 199 1684778 9-E2 D.A. Davidson & Co. 199 1684772 9-C2 9-C4 9-C5 D.A. Davidson & Co. 199 1684769 9-E2 D.A. Davidson & Co. 199 1684765 9-E2 D.A. Davidson & Co. 199 1684764 9-E2 D.A. Davidson & Co. 199 1684763 9-E2 D.A. Davidson & Co. 199 1684762 9-E2 D.A. Davidson & Co. 199 1684761 9-E2 D.A. Davidson & Co. 199 1684760 9-E2 D.A. Davidson & Co. 199 1684759 9-E2 D.A. Davidson & Co. 199 1684757 9-E2 D.A. Davidson & Co. 199 1684756 9-E2 D.A. Davidson & Co. 199 1620965 9-E2 D.A. Davidson & Co. 199 1600906 9-E2 D.A. Davidson & Co. 199 1480009 9-D2 9-E2 D.A. Davidson & Co. 199 1450767 1 9-D2 9-D4 D.A. Davidson Trust Company, f/k/a Davidson Trust Co. N D.A. Davidson & Co. 199 1233821 9-E2 D.A. Davidson & Co. 199 1205087 9-D2 D.A. Davidson & Co. 199 595027 9-D2 D.A. Davidson & Co. 199 321467 9-D2 D.A. Davidson & Co. 199 134770 9-D2 D.A. Davidson & Co. 199 101999 9-E2 D.A. Davidson & Co. 199 101998 9-E2 D.A. Davidson & Co. 199 1719082 9-E2 D.A. Davidson & Co. 199 1769149 9-E2 D.A. Davidson & Co. 199 1848275 9-G D.A. Davidson & Co. 199 1848602 9-C2 9-C4 9-C5 D.A. Davidson & Co. 199 1864374 9-C2 9-C4 9-C5 9-D1 9-D2 9-D4 9-E2 9-C2 9-C4 9-C5 9-D2 9-D4 D.A. Davidson & Co. 199 1993061 9-E2 D.A. DAvidson & Co. 199 2003446 9-C1 9-C2 9-C4 9-C5 D.A. Davidson & Co. 199 2020144 9-C1 9-C2 9-C4 9-C5 D.A. Davidson & Co. 199 2023076 9-E2 D.A. Davidson & Co. 199 2054488 9-E2 D.A. Davidson & Co. 199 2077074 9-E2 D.A. DAVIDSON & CO. 199 2219455 Jacqueline A. Beauprez Jacqueline A. Beauprez SVP, General Counsel 01-17-2023 N N N N N Y N Y Y N Y N Y N N N N N Y N N