James E. Layden
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Ellsworth Layden Jr, who also goes by James Ellsworth Layden Jr, James Ellsworth Layden, Jim Layden, James E Layden Jr, James E Layden Jr., was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1981. James had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 3, Series 5, Series 7, Series 10, Series 9, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 7, 2016 - October 2, 2024
D.A. DAVIDSON & CO.
September 29, 2015 - October 2, 2024
D.A. DAVIDSON & CO.
August 4, 2010 - October 8, 2015
DEUTSCHE BANK SECURITIES INC.
February 1, 1989 - December 9, 1991
GEODYNE SECURITIES, INC.
September 29, 1986 - August 13, 2010
UBS FINANCIAL SERVICES INC.
November 3, 1982 - October 8, 1986
FINANCIAL SQUARE PARTNERS
April 1, 1982 - November 9, 1982
TUCKER ANTHONY INCORPORATED
November 3, 1981 - March 22, 1982
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
D.A. DAVIDSON & CO.
CRD#: 199 / SEC#: 801-45761, 8-2399
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 15
Date: 4/29/1991
Foreign Currency Options ExaminationSeries 5
Date: 10/30/1981
Interest Rate Options ExaminationSeries 8
Date: 4/30/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
D.A. DAVIDSON & CO.
CRD#: 199 / SEC#: 801-45761, 8-2399
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| D.A. DAVIDSON COMPANIES | HOLDING COMPANY | |
| BEAUPREZ, JACQUELINE ANN | SVP, GENERAL COUNSEL | 4075012 |
| CRONK, JAMES LEE | PRINCIPAL OPERATIONS OFFICER | 1104799 |
| DISPENSE, MARC RUSSELL | PRESIDENT, FIXED INCOME CAPITAL MARKETS | 4655410 |
| MARTINEZ, LAWRENCE TODD | CHARIMAN AND CEO, D.A. DAVIDSON COMPANIES, DIRECTOR | 4596308 |
| MCCUBBIN, JARED C | SVP, CHIEF COMPLIANCE OFFICER | 4969077 |
| MCKINNEY, RORY ADAM | PRESIDENT, EQUITY CAPITAL MARKETS | 4735577 |
| PURPURA, MICHAEL JOSEPH | PRESIDENT, WEALTH MANAGEMENT, DIRECTOR | 2095576 |
| ZADICK, JUSTINE MILNE | PRINCIPAL FINANCIAL OFFICER | 6452559 |
Regulatory assets under management
| Total Number of Accounts | 86,818 |
| AUM (Assets Under Management) | $ 36,175,333,459 |
Disclosures
| Regulatory Event | 41 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/13/2025 | ||
| 09/27/2024 | ||
| 11/13/2023 | ||
| 12/22/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
