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.