0000027182-23-000014.txt : 20230515 0000027182-23-000014.hdr.sgml : 20230515 20230515080341 ACCESSION NUMBER: 0000027182-23-000014 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 NELSON,RANDALL,WARREN, FILED AS OF DATE: 20230512 DATE AS OF CHANGE: 20230515 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-I/A SEC ACT: 1934 Act SEC FILE NUMBER: 868-04289 FILM NUMBER: 23918520 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-I/A 1 primary_doc.xml MA-I/A 0000027182 XXXXXXXX Janet Smith 208-388-4237 jsmith@dadco.com N 0000027182-19-000035 N Randall Warren Nelson 2105965 N 1 0000027182 D.A. DAVIDSON & CO. 10-01-2019 N 867-01235 LOCATED 10-01-2019 5601 Granite Parkway Suite 560 Plano TX 75024 10-2019 D.A. DAVIDSON & CO. Plano TX 75024 Y Y MANAGING DIRECTOR, PUBLIC FINANCE 08-2000 10-2019 WELLS NELSON & ASSOCIATES LLC TULSA OK 74103 Y Y INVESTMENT BANKER Y 06-1995 WARREN CAPITAL CORP 3031 S QUAKER AVE TULSA OK 74114 N Y CORPORATION HOLDING COMPANY FOR OIL AND GAS LEASES PRESIDENT/OWNER 5 MANAGEMENT DUTIES 07-2015 SUDBURY TRANSPORTATION INC 360 CAIN DR HAYSVILLE KS 67060 N N TRANSPORTATION COMPANY CHAIRMAN - 50% OWNER 5 MAINTAIN CONTACT WITH STAFF CONCERNING OVERALL OPERATIONS 03-2018 CHASIN ENERGY LLC Rout 1, box 396 NOWATA OK 74048 N Y OIL AND GAS PRODUCTION MANAGING PARTNER 3 MANAGEMENT N N N N N N N N Y Y N Y Y N N N N N N N N N N N N Y N N N N N N N N N N N N N N N N N N N N N N N N 05-12-2023 Marc Dispense President Fixed Income Capital Markets NELSON, RANDALL WARREN 2105965 1013332 6C(1) 6C(7) 6C(2) 6C(4) 6C(5)