George F. Dames
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.
George Francis Dames was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1972. George had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 7, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 2019 - March 8, 2022
D.A. DAVIDSON & CO.
February 27, 2019 - March 8, 2022
D.A. DAVIDSON & CO.
February 27, 2009 - February 28, 2019
WELLS FARGO CLEARING SERVICES, LLC
February 27, 2009 - February 28, 2019
WELLS FARGO CLEARING SERVICES, LLC
August 18, 2005 - March 3, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 30, 2000 - March 3, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 15, 1998 - October 5, 2000
WELLS FARGO INVESTMENTS, LLC
July 31, 1993 - February 9, 1998
CITIGROUP GLOBAL MARKETS INC.
September 12, 1980 - July 31, 1993
LEHMAN BROTHERS INC.
November 12, 1975 - August 19, 1980
PACIFIC CREST SECURITIES LLC
September 27, 1972 - December 6, 1975
ATKINSON AND COMPANY
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 5
Date: 10/17/1981
Interest Rate Options ExaminationSeries 1
Date: 9/22/1972
Registered Representative ExaminationSeries 40
Date: 10/27/1978
Registered Principal 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.
