Richard G. Dunphy
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.
Richard Gerald Dunphy, who also goes by Rich Dunphy, Rick Dunphy, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1982. Richard had worked at 11 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 3, 2020 - July 5, 2022
D.A. DAVIDSON & CO.
October 7, 2014 - August 5, 2020
BB&T SECURITIES, LLC
August 29, 2005 - August 16, 2012
NATIONAL FINANCIAL SERVICES LLC
August 25, 2005 - August 15, 2012
FIDELITY BROKERAGE SERVICES LLC
October 18, 2004 - August 1, 2005
MESIROW FINANCIAL, INC.
May 28, 2003 - November 12, 2004
FIDELITY BROKERAGE SERVICES LLC
September 16, 1997 - November 12, 2004
NATIONAL FINANCIAL SERVICES LLC
March 22, 1996 - September 12, 1997
ITG EXECUTION SERVICES, INC.
December 14, 1994 - January 10, 1996
ABN AMRO SECURITIES LLC
November 14, 1988 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
July 25, 1987 - September 26, 1994
LEHMAN GOVERNMENT SECURITIES INC.
November 6, 1982 - September 26, 1994
LEHMAN BROTHERS INC.
October 20, 1982 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
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.
