0000027182-23-000025.txt : 20231025
0000027182-23-000025.hdr.sgml : 20231025
20231025091834
ACCESSION NUMBER: 0000027182-23-000025
CONFORMED SUBMISSION TYPE: MA-I
PUBLIC DOCUMENT COUNT: 1
MA-I INDIVIDUAL: LU,JEFFERY,CHUN-CHIEH,
FILED AS OF DATE: 20231024
DATE AS OF CHANGE: 20231025
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
SEC ACT: 1934 Act
SEC FILE NUMBER: 868-04289
FILM NUMBER: 231344180
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
1
primary_doc.xml
MA-I
0000027182
XXXXXXXX
Janet Smith
2083884237
jsmith@dadco.com
N
N
Jeffery
Chun-Chieh
Lu
2711833
N
1
0000027182
D.A. DAVIDSON & CO.
05-16-2022
N
867-01235
SUPERVISED
05-22-2022
1550 MARKET ST
SUITE 300
DENVER
CO
80202
LOCATED
05-22-2022
05-2022
D.A. Davidson & Co.
Denver
CO
80202
Y
Y
VP, Supervisory Manager
09-2021
05-2022
N/A
Monrovia
CA
91016
N
N
Unemployed
08-2015
09-2021
Wedbush
Los Angeles
CA
90017
Y
Y
Compliance Manager
11-2014
05-2015
U.S. Securities Exchange Commission
Miami
FL
33178
Y
Y
Compliance Examiner
04-2014
10-2014
US Bancorp Investments
Claremont
CA
91711
Y
Y
Central Principal
09-2013
04-2014
D.A. Davidson & Co.
West Covina
CA
91790
Y
Y
Branch Operations Manager
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
Y
N
N
N
N
N
N
N
10-24-2023
Marc Dispense
President Fixed Income Capital Markets
Jeffrey C. Lu
2711833
1630476
6J(1)