Nicole L. Bristol

Some features on this profile are disabled

CRD#: 6863742

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.

Nicole Leora Bristol, who also goes by Nicole Leora Seihoun, was a registered financial professional .

Nicole is a previously registered financial professional and started their career in finance in 2019. Nicole had worked at 1 firm and has passed the Series 66, Series 7TO, SIE, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Nicole Leora Seihoun

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.

Notary Public for State of Utah; non-investment related; Kaysville, UT; State of Utah; Notary Public; Starting 9/17/2020; approx 1 hr/mo; no time during securities trading hours; perform notary services.

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

June 27, 2023 - December 19, 2024

D.A. DAVIDSON & CO.

RIA

CRD#: 199

SOUTH JORDAN, UT

Past

June 27, 2023 - December 19, 2024

D.A. DAVIDSON & CO.

CRD#: 199

SOUTH JORDAN, UT

Past

December 3, 2019 - May 18, 2022

D.A. DAVIDSON & CO.

RIA

CRD#: 199

SALT LAKE CITY, UT

Past

February 20, 2019 - May 18, 2022

D.A. DAVIDSON & CO.

CRD#: 199

SALT LAKE CITY, UT

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

IAR

Series 66

Date: 12/2/2019

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 2/20/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 11/26/2018

Securities Industry Essentials Examination

Principal/Supervisory Exam

Series 10

Date: 8/1/2024

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 7/17/2024

General Securities Sales Supervisor - Options Module 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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Nicole L. Bristol

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

D.A. DAVIDSON & CO.

D.A. DAVIDSON & CO.

D.A. DAVIDSON & CO.

Primary Firm SEC Registration

D.A. DAVIDSON & CO.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/2/2019

Series 7TO

Date: 2/20/2019

SIE

Date: 11/26/2018

Series 10

Date: 8/1/2024

Series 9

Date: 7/17/2024

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

Similar Advisors