Trisha J. Webb
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.
Trisha Jean Webb, who also goes by Trisha Jean Falconer, Trisha J Webb, Trisha Webb, was a registered financial professional .
Trisha is a previously registered financial professional and started their career in finance in 1999. Trisha had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2019 - February 3, 2020
D.A. DAVIDSON & CO.
January 2, 2019 - February 3, 2020
D.A. DAVIDSON & CO.
October 26, 2018 - December 18, 2018
CENTAURUS FINANCIAL, INC.
October 26, 2018 - December 18, 2018
CENTAURUS FINANCIAL, INC.
May 30, 2017 - November 24, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 30, 2017 - November 24, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 23, 2013 - June 13, 2016
WEDBUSH SECURITIES INC.
July 23, 2013 - June 13, 2016
WEDBUSH SECURITIES INC.
July 7, 2011 - June 5, 2013
WELLS FARGO CLEARING SERVICES, LLC
July 5, 2011 - June 5, 2013
WELLS FARGO CLEARING SERVICES, LLC
June 1, 2009 - June 30, 2011
MORGAN STANLEY
June 1, 2009 - June 30, 2011
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
January 5, 2007 - April 2, 2007
MORGAN STANLEY DW INC.
January 5, 2007 - April 2, 2007
MORGAN STANLEY DW INC.
November 9, 2006 - December 1, 2006
PARTNERVEST ADVISORY SERVICES LLC
November 9, 2006 - December 1, 2006
PARTNERVEST SECURITIES, INC.
July 1, 2003 - November 2, 2006
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - November 2, 2006
WELLS FARGO CLEARING SERVICES, LLC
May 4, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
April 23, 1999 - July 1, 2003
PRUDENTIAL EQUITY GROUP, 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.
