Lionel C. Kiki

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CRD#: 7151970

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.

Lionel Christopher Kiki, who also goes by Lio Kiki, Lionel Christopher Kiki, Lionel Kiki, was a registered financial professional .

Lionel is a previously registered financial professional and started their career in finance in 2019. Lionel had worked at 6 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Lio Kiki | Lionel Christopher Kiki | Lionel Kiki

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.

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

February 26, 2025 - July 29, 2025

D.A. DAVIDSON & CO.

CRD#: 199

Ventura, CA

Past

February 25, 2025 - July 29, 2025

D.A. DAVIDSON & CO.

RIA

CRD#: 199

Ventura, CA

Past

April 17, 2024 - August 27, 2024

ALLIANCEBERNSTEIN L.P.

RIA

CRD#: 108477

LOS ANGELES, CA

Past

April 17, 2024 - August 27, 2024

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

LOS ANGELES, CA

Past

September 8, 2023 - March 19, 2024

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

CHATSWORTH, CA

Past

August 29, 2023 - March 19, 2024

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

September 17, 2021 - March 30, 2023

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

WEEHAWKEN, NJ

Past

December 6, 2019 - March 30, 2023

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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: 9/17/2021

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/6/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/23/2019

Securities Industry Essentials 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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Firm Stability Insights

Lionel C. Kiki

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

D.A. DAVIDSON & CO.

ALLIANCEBERNSTEIN L.P.

SANFORD C. BERNSTEIN & CO., LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

D.A. DAVIDSON & CO.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/17/2021

Series 7TO

Date: 12/6/2019

SIE

Date: 8/23/2019

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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