Rick B. Coad
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.
Rick Bradford Coad, who also goes by Rick Coad, was a registered financial professional .
Rick is a previously registered financial professional and started their career in finance in 1993. Rick had worked at 14 firms and has passed the Series 63, Series 52TO, Series 79TO, SIE, Series 7, Series 52, 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
February 22, 2022 - February 13, 2024
D.A. DAVIDSON & CO.
July 1, 2019 - March 6, 2022
INTE SECURITIES LLC
April 4, 2017 - December 31, 2017
SAXONY SECURITIES, INC.
January 23, 2017 - May 29, 2019
PATRICK CAPITAL MARKETS, LLC
January 9, 2016 - October 7, 2016
FINTRUST BROKERAGE SERVICES, LLC
February 28, 2014 - February 18, 2015
STONEX FINANCIAL INC.
October 2, 2013 - February 4, 2014
LEVEL FOUR FINANCIAL, LLC
April 25, 2013 - October 11, 2013
GARDNYR MICHAEL CAPITAL, INC.
May 8, 2012 - April 1, 2013
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
November 15, 2006 - May 9, 2012
MORGAN KEEGAN & COMPANY, LLC
June 12, 2000 - November 17, 2006
AMSOUTH INVESTMENT SERVICES, INC.
February 14, 2000 - April 7, 2000
AMSOUTH INVESTMENT SERVICES, INC.
February 1, 1997 - February 14, 2000
INVEST FINANCIAL CORPORATION
April 6, 1994 - February 1, 1997
AMERISTAR CAPITAL MARKETS, INC.
July 26, 1993 - March 4, 1994
NATIONAL CITY INVESTMENTS CORPORATION
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent 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.
