Gerald R. Conn
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.
Gerald Raymond Conn was a registered financial professional .
Gerald is a previously registered financial professional and started their career in finance in 1970. Gerald had worked at 13 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 3, PC, Series 000, Series 1, Series 10, Series 9, Series 8, Series 24, Series 12 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 26, 2022 - January 10, 2025
D.A. DAVIDSON & CO.
September 22, 2022 - January 10, 2025
D.A. DAVIDSON & CO.
February 28, 2006 - September 13, 2022
RAYMOND JAMES & ASSOCIATES, INC.
December 2, 2005 - September 13, 2022
RAYMOND JAMES & ASSOCIATES, INC.
May 2, 2002 - December 6, 2005
WELLS FARGO CLEARING SERVICES, LLC
April 30, 2002 - December 6, 2005
WELLS FARGO CLEARING SERVICES, LLC
July 11, 2001 - January 22, 2002
WELLS FARGO INVESTMENTS, LLC
August 18, 2000 - July 11, 2001
WELLS FARGO SECURITIES, LLC
October 21, 1998 - October 3, 2000
MORGAN STANLEY DW INC.
February 20, 1996 - September 25, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 26, 1993 - November 21, 1995
UBS FINANCIAL SERVICES INC.
September 4, 1990 - August 30, 1993
WELLS FARGO CLEARING SERVICES, LLC
April 10, 1989 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
March 6, 1986 - April 6, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
June 7, 1982 - March 12, 1986
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
May 23, 1980 - May 24, 1981
JEFFERIES EXECUTION SERVICES, INC.
June 3, 1977 - March 1, 1978
BLYTH EASTMAN DILLON & CO. INCORPORATED
June 22, 1973 - June 21, 1977
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
April 13, 1970 - July 18, 1973
MITCHUM, JONES & TEMPLETON INCORPORATED
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 9/2/1977
AMEX Put and Call ExamSeries 000
Date: 3/23/1970
General Securities Principal ExaminationSeries 1
Date: 3/23/1970
Registered Representative ExaminationSeries 8
Date: 4/23/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Series 12
Date: 6/19/1982
NYSE Branch Manager 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.
