Scott A. Sideras
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.
Scott Allan Sideras was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1982. Scott had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 17, 2008 - July 23, 2024
D.A. DAVIDSON & CO.
March 17, 2008 - July 23, 2024
D.A. DAVIDSON & CO.
August 1, 2006 - March 18, 2008
WEDBUSH SECURITIES INC.
June 14, 2002 - March 18, 2008
WEDBUSH SECURITIES INC.
April 6, 2002 - June 27, 2002
RBC CAPITAL MARKETS, LLC
March 9, 2002 - June 27, 2002
RBC CAPITAL MARKETS, LLC
February 12, 1999 - March 9, 2002
SUTRO & CO. INCORPORATED
April 11, 1997 - February 8, 1999
CHARTER INVESTMENT GROUP, INC.
October 4, 1996 - April 9, 1997
SUTRO & CO. INCORPORATED
September 4, 1992 - October 16, 1996
PRUDENTIAL EQUITY GROUP, LLC
February 6, 1988 - September 15, 1992
CITIGROUP GLOBAL MARKETS INC.
May 2, 1984 - January 12, 1988
SECURITIES RESOLUTION CORPORATION
September 9, 1983 - January 18, 1984
CINCOTTA & CO.
August 9, 1982 - November 9, 1982
AMUNI FINANCIAL, 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
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.
