Becky R. Quinn
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.
Becky Ruth Quinn, who also goes by Becky Hart, was a registered financial professional .
Becky is a previously registered financial professional and started their career in finance in 1992. Becky had worked at 9 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 10, Series 4, Series 24 and Series 53 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 - November 10, 2014
D.A. DAVIDSON & CO.
November 25, 2013 - November 10, 2014
D.A. DAVIDSON & CO.
November 4, 2013 - November 25, 2013
CROWELL WEEDON & CO.
November 4, 2013 - November 25, 2013
CROWELL WEEDON & CO.
September 17, 2012 - November 4, 2013
CROWELL, WEEDON & CO.
February 18, 2011 - November 4, 2013
CROWELL, WEEDON & CO.
July 22, 2010 - January 6, 2011
CAPITAL SYNERGY PARTNERS
February 3, 2009 - July 1, 2010
FINANCIAL WEST GROUP
June 26, 2007 - February 24, 2009
CITIGROUP GLOBAL MARKETS INC.
June 26, 2007 - February 24, 2009
CITIGROUP GLOBAL MARKETS INC.
September 1, 2005 - June 26, 2007
UBS FINANCIAL SERVICES INC.
August 31, 2005 - June 26, 2007
UBS FINANCIAL SERVICES INC.
October 7, 1997 - August 10, 2005
FINANCIAL WEST GROUP
January 22, 1996 - October 17, 1997
THE HERITAGE GROUP, INC.
May 15, 1992 - January 19, 1996
ROTH CAPITAL PARTNERS, 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
Series 55
Date: 8/30/2002
Limited Representative-Equity Trader ExamCurrent 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 | 92,146 |
| AUM (Assets Under Management) | $ 41,839,245,699 |
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 |
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.
