David J. Nitsch
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.
David Joseph Nitsch, who also goes by David Joseph Nitsch, David Nitsch, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1982. David had worked at 16 firms and has passed the Series 63, SIE, Series 5, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 24, 2017 - January 2, 2025
D.A. DAVIDSON & CO.
June 16, 2014 - November 12, 2015
CEROS FINANCIAL SERVICES, INC.
June 13, 2011 - January 8, 2013
INTERPACIFIC INVESTORS SERVICES, INC.
February 19, 2009 - July 17, 2009
ALLSTATE FINANCIAL SERVICES, LLC
March 31, 2008 - December 23, 2008
KMS FINANCIAL SERVICES, INC.
August 2, 2007 - March 17, 2008
LINCOLN FINANCIAL DISTRIBUTORS, INC.
October 11, 2006 - July 6, 2007
KMS FINANCIAL SERVICES, INC.
October 23, 2000 - May 5, 2006
CAPITAL BROKERAGE CORPORATION
July 15, 1999 - September 18, 2000
BOFA DISTRIBUTORS, INC.
August 16, 1995 - July 15, 1999
KEYPORT FINANCIAL SERVICES CORP.
December 2, 1994 - July 7, 1995
ESSEX NATIONAL SECURITIES, LLC
September 23, 1992 - December 5, 1994
INVEST FINANCIAL CORPORATION
September 4, 1991 - October 14, 1992
VOYA FINANCIAL ADVISORS, INC.
January 22, 1990 - July 5, 1990
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
June 16, 1987 - August 28, 1989
METRIC CAPITAL CORPORATION
February 5, 1985 - May 8, 1987
A. G. EDWARDS & SONS, INC.
June 28, 1982 - February 6, 1985
MORGAN STANLEY DW 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 5
Date: 12/11/1982
Interest Rate Options ExaminationCurrent 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.
