Clayton E. Dilliard
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.
Clayton Ellsworth Dilliard II, who also goes by Clayton E Dilliard II, Clayton Ellsworth Dilliard, was a registered financial professional .
Clayton is a previously registered financial professional and started their career in finance in 1985. Clayton had worked at 18 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 4, Series 27 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
November 25, 2013 - July 30, 2015
D.A. DAVIDSON & CO.
November 4, 2013 - November 25, 2013
CROWELL WEEDON & CO.
June 16, 2008 - November 4, 2013
CROWELL, WEEDON & CO.
April 2, 2007 - April 18, 2007
SECOND STREET SECURITIES, INC.
January 22, 2007 - April 18, 2007
BENEFIT FUNDING SERVICES, LLC
August 8, 2005 - September 20, 2006
WADDELL & REED
August 8, 2005 - September 20, 2006
WADDELL & REED
May 3, 2005 - August 1, 2005
GLOBALINK SECURITIES, INC.
April 26, 2000 - May 1, 2003
GLOBALINK SECURITIES, INC.
November 3, 1998 - July 26, 1999
GLOBAL CAPITAL SECURITIES CORPORATION
June 15, 1998 - September 15, 1998
H.J. MEYERS & CO., INC.
January 28, 1997 - July 14, 1998
AMERICAN INCOME SECURITIES
May 8, 1995 - October 4, 1995
AMERICAN INCOME SECURITIES
May 11, 1993 - June 30, 1993
MAXXEL SECURITIES, INC.
February 23, 1993 - April 23, 1993
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.
May 7, 1991 - October 16, 1992
AMERICAN BUSINESS SECURITIES, INC.
September 14, 1988 - November 14, 1988
GREENTREE SECURITIES CORP.
February 10, 1988 - July 16, 1988
BROWNSTONE-SMITH SECURITIES CORP.
March 23, 1987 - February 18, 1988
THE STUART-JAMES COMPANY, INCORPORATED
March 5, 1985 - February 2, 1987
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
March 5, 1985 - February 9, 1987
EQUITABLE ADVISORS, LLC
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.
