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)