Our Staff has compiled our research into a database of FINRA Broker Disclosures for D.A. Davidson & Co.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Thomas Leo Dooley | 1426361 | 4 | 05/19/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Leo Dooley | 1426361 | 4 | 08/21/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Leo Dooley | 1426361 | 4 | 05/05/1994 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Cindy Lynn Romney | 1123343 | 4 | 10/12/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Leo Dooley | 1426361 | 4 | 08/13/1991 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |