Tracy J. Swanson

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CRD#: 1198271

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.

Tracy Joe Swanson, AIF® was a registered financial professional .

Tracy is a previously registered financial professional and started their career in finance in 1984. Tracy had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 22, Series 6, Series 9, Series 10 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) DRY CREEK LIVESTOCK; NON INVESTMENT RELATED; BUFFALO, WY; LIVESTOCK GRAZING; PARTNER; STARTING 05/01/2019; APPROX 5 HRS/YR; NO TIME DEVOTED DURING SECURITIES TRADING HOURS. 2) RENTAL PROPERTY; INVESTMENT RELATED; BIG HORN, WY; REAL ESTATE; OWNER; STARTING 04/12/2019; 1 HR/MO; NO TIME DEVOTED DURING SECURITIES TRADING HOURS; GENERAL DUTIES RELATED TO RENTAL PROPERTY. 3) EPISCOPAL DIOCESE OF WYOMING FOUNDATION; INVESTMENT RELATED; SHERIDAN, WY; NON-PROFIT; CHAIRMAN INVESTMENT COMMITTEE; STARTING 01/01/2019; APPROX 3 HRS/MONTH DURING SECURITIES TRADING HOURS; RUN MEETINGS. 4) NORTHERN WYOMING COMMUNITY COLLEGE DISTRICT BOARD; NON-INVESTMENT RELATED; SHERIDAN, WY; COLLEGE; TRUSTEE; STARTING 12/15/2020; 5 HR/MO AND NO TIME DURING SECURITIES TRADING HOURS; ATTEND MEETINGS. 5) YMCA; NON-INVESTMENT RELATED; SHERIDAN, WY; NON-PROFIT; BOARD MEMBER; START 11/1/21; 3 HR/MO; NO TIME DEVOTED DURING SECURITIES TRADING HOURS; BOARD MEMBER, ATTEND MEETINGS.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

AIF^®

Accredited Investment Fiduciary

Experience

Past

April 16, 2007 - April 14, 2023

D.A. DAVIDSON & CO.

RIA

CRD#: 199

GILLETTE, WY

Past

April 24, 1998 - April 14, 2023

D.A. DAVIDSON & CO.

CRD#: 199

GILLETTE, WY

Past

January 24, 1989 - May 18, 1998

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

Past

January 18, 1984 - November 22, 1988

WADDELL & REED

CRD#: 866

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

D.A. DAVIDSON & CO.

CROWELL, WEEDON & CO., A DIVISION OF D.A. DAVIDSON & CO. | D.A. DAVIDSON & CO. | D. A. DAVIDSON & CO. INCORPORATED

CRD#: 199 / SEC#: 801-45761, 8-2399

RIA

Registered Investment Advisory firm - SEC (2/8/1994 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/13/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/3/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 8/18/2009

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 1/21/1989

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 4/7/1986

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 1/17/1984

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 8

Date: 3/24/1999

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

D.A. DAVIDSON & CO.

CROWELL, WEEDON & CO., A DIVISION OF D.A. DAVIDSON & CO. | D.A. DAVIDSON & CO. | D. A. DAVIDSON & CO. INCORPORATED

CRD#: 199 / SEC#: 801-45761, 8-2399

RIA

Registered Investment Advisory firm - SEC (2/8/1994 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

8 Third Street North, Great Falls, MT 59401

Mailing Address

P.o. Box 5015, Great Falls, MT 59403-5015

Phone number

(406) 727-4200

Established

Montana since 05/01/1935

Firm type

Corporation

Fiscal year end

September

Firm Size

Large

# of Employees

650

SEC notice filing (51 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

D.A. DAVIDSON & CO. WRAP FEE PROGRAM BROCHURE (8/29/2025)

D.A. DAVIDSON FIRM BROCHURE (8/29/2025)

D.A. DAVIDSON FIRM BROCHURE - EQUITY RESEARCH SERVICES (7/1/2025)

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	Cover Page	Report
09/27/2024	Cover Page	Report
11/13/2023	Cover Page	Report
12/22/2022	Cover Page	Report

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Tracy J. Swanson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

D.A. DAVIDSON & CO.

PIPER SANDLER & CO.

WADDELL & REED

Primary Firm SEC Registration

D.A. DAVIDSON & CO.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/13/1999

Series 63

Date: 12/3/1983

SIE

Date: 10/1/2018

Series 31

Date: 8/18/2009

Series 7

Date: 1/21/1989

Series 22

Date: 4/7/1986

Series 6

Date: 1/17/1984

Series 9

Date: 1/2/2023

Series 10

Date: 1/2/2023

Series 8

Date: 3/24/1999

Current Firm

D.A. DAVIDSON & CO.

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

D.A. DAVIDSON & CO.

TRUST BUT VERIFY

Contact information

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