CRD #199 · FINRA BrokerCheck + SEC IAPD

D.A. Davidson & Co.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, D.A. Davidson & Co. ranks #103 of 20,055 by disclosure count (most disclosures first). Among firms registered in MT, it ranks #1 of 4 on the same disclosure sort used on the state browse page. D.A. Davidson & Co. carries 48 BrokerCheck disclosures across 330 branch offices - light load for a large firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
330
branch offices
48
disclosures
#103 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 199 D.A. Davidson & Co.

D.A. Davidson & Co. · Grade C · 48 disc · 0.15/office · Large firm

  • CRD 199
  • GRADE C
  • DISC 48
  • REG 41
  • ARB 7
  • CIV 0
  • BRANCH 330
  • PER-OFF 0.15
  • RANK #103 of 20,055
  • BOOK Large firm

Intensity peers

Nearest same-size peer: Natixis Securities Americas LLC (0.15 disc/office)

Natixis Securities Amer…0.15Lasalle ST Securities, …0.16Synovus Securities, Inc.0.12D.A. Davidson & Co. (this)0.15
Disclosures per office among large firm peers (lower is cleaner)

D.A. Davidson & Co. ranks #103 of 20,055 by disclosure count among graded broker-dealers; light load at 0.15 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 3/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

330 offices

FINRA: Large firm

Total disclosures

48 events

On FINRA BrokerCheck

Regulatory events

41 actions

85% of all disclosures

Disclosures per office

0.15 per office

48 ÷ 330 offices

D.A. Davidson & Co. vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 82% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). This entry sits in this band. 0–1: 159 disclosing firms (13%). Above this entry. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 41
Arbitrations 7
Civil Events 0
Total 48

Counts for D.A. Davidson & Co. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 41 Arbitration 7 Civil 0

Firm Details

Firm Size
Large
Scope
ACTIVE
Location
Great Falls, MT, 59401-3104
Formed
05/01/1935
State of Formation
Montana
CRD Number
199
SEC Number
2399

Regulator-heavy mix

D.A. Davidson & Co. in the heavier-disclosure third

D.A. Davidson & Co. carries 48 BrokerCheck disclosures across 330 branch offices - a heavier-third raw book among graded firms (#103 of 20,055). Regulator-initiated events are 85% of the book (41 regulatory / 7 arbitration / 0 civil).

85% of D.A. Davidson & Co.'s 48 disclosures are regulator-initiated (41 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of D.A. Davidson & Co.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Montana cohort · 3.84× state average

D.A. Davidson & Co. sits above the Montana disclosure average

D.A. Davidson & Co. reports 48 BrokerCheck disclosures, 3.84× the Montana average of 12.5 across 4 graded firms with a principal-office state on file.

In Montana, 2 firms carry Grade A and 0 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Montana state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does D.A. Davidson & Co. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, D.A. Davidson & Co. ranks #103 of 20,055 by disclosure count (most disclosures first). Among firms registered in MT, it ranks #1 of 4 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of C mean for D.A. Davidson & Co.?
A grade of C reflects D.A. Davidson & Co.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (large firm). It carries 48 total disclosures across 330 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does D.A. Davidson & Co. have?
D.A. Davidson & Co. has 48 total FINRA disclosures, including 41 regulatory events, 7 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is D.A. Davidson & Co.?
D.A. Davidson & Co. operates 330 branch offices and is classified by FINRA as a large firm, registered in MT (Large firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify D.A. Davidson & Co.'s disciplinary record?
You can verify D.A. Davidson & Co.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 199. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). D.A. Davidson & Co.'s 48 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid D.A. Davidson & Co. because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. D.A. Davidson & Co. carries 48 disclosures across 330 branch offices (about 0.15 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for D.A. Davidson & Co., both outside MT so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.

Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This page draws directly on FINRA BrokerCheck and SEC IAPD data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error. Data current as of July 2026.