Joseph C. Bosch
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.
Joseph Cord Bosch was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1983. Joseph had worked at 9 firms and has passed the Series 63, SIE, Series 50, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 18, 2018 - August 4, 2020
D.A. DAVIDSON & CO.
January 18, 2012 - June 20, 2018
JANNEY MONTGOMERY SCOTT LLC
May 31, 1994 - December 31, 2011
GEORGE K. BAUM & COMPANY
February 2, 1993 - May 31, 1994
GKB, INC.
August 28, 1990 - February 2, 1993
FLEET SECURITIES INC.
July 18, 1989 - August 20, 1990
WR LAZARD, LAIDLAW INCORPORATED
March 15, 1988 - July 13, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
August 8, 1986 - November 3, 1987
L. F. ROTHSCHILD & CO. INCORPORATED
September 17, 1984 - July 13, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
November 22, 1983 - September 28, 1984
BECKER PARIBAS 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.
