Kevin D. Vassily

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CRD#: 2068878

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.

Kevin Dean Vassily was a registered financial professional .

Kevin is a previously registered financial professional and started their career in finance in 1998. Kevin had worked at 7 firms and has passed the Series 63, SIE, Series 86, Series 87, Series 7 and Series 24 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.

The advisor shows no other business activity.

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®

None

Experience

Past

April 9, 2020 - June 11, 2020

D.A. DAVIDSON & CO.

CRD#: 199

PORTLAND, OR

Past

April 13, 2015 - May 11, 2018

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

PORTLAND, OR

Past

May 24, 2007 - April 13, 2015

PACIFIC CREST SECURITIES LLC

CRD#: 6619

PORTLAND, OR

Past

June 26, 2003 - September 5, 2006

SUSQUEHANNA FINANCIAL GROUP, LLLP

CRD#: 35865

SAN FRANCISCO, CA

Past

September 17, 2001 - June 27, 2003

THOMAS WEISEL PARTNERS LLC

CRD#: 46237

SAN FRANCISCO, CA

Past

August 1, 2000 - October 31, 2000

GARAGE SECURITIES, INC.

CRD#: 45699

PALO ALTO, CA

Past

August 20, 1998 - April 25, 2000

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

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

Series 63

Date: 12/7/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/11/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 86

Date: 3/9/2005

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 87

Date: 2/17/2005

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 8/17/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/18/2015

General Securities Principal Examination

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.

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Kevin D. Vassily

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

KEYBANC CAPITAL MARKETS INC.

PACIFIC CREST SECURITIES LLC

SUSQUEHANNA FINANCIAL GROUP, LLLP

THOMAS WEISEL PARTNERS LLC

GARAGE SECURITIES, INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

D.A. DAVIDSON & CO.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/7/2000

SIE

Date: 5/11/2018

Series 86

Date: 3/9/2005

Series 87

Date: 2/17/2005

Series 7

Date: 8/17/1998

Series 24

Date: 12/18/2015

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

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