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David Wakefield

Chief Financial Officer at D.A. Davidson & Co.

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
3
Licensing exams

IAPD record retrieved 17 October 2026SEC record

David Wakefield is Chief Financial Officer of D.A. Davidson & Co., a Great Falls investment adviser managing $41.8B. David Wakefield has a current broker registration and no current investment-adviser registration and has passed the Series 27, Series 99TO and SIE.

Role at D.A. Davidson & Co.

Title on Schedule A
Chief Financial Officer
Control
David Wakefield is a control person of D.A. Davidson & Co..
Ownership
An individual ownership band is not available in the source record.
Tenure
David Wakefield has held the filed role since July 2026.

The firm

D.A. Davidson & Co.
Great Falls, MT

Form ADV filed 30 July 2026

$41.8B AUM70,118 clients410 advisers26 offices

Career on record

Firms and exams, newest first
  1. Passed Series 99TO and SIE · 2023
  2. Passed Series 27 · 2020

Registrations and exams

Broker registration; no current adviser registration. David Wakefield has passed 3 qualifying exams.

Examinations

Series 279 October 2020
Name
Financial and Operations Principal Examination
Series 99TO2 January 2023
Name
Operations Professional Examination
SIE2 January 2023
Name
Securities Industry Essentials Examination

Individual record

Full name
David Ian Wakefield
CRD
3095440
Firm
D.A. Davidson & Co.
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does David Wakefield work?

David Wakefield has been Chief Financial Officer of D.A. Davidson & Co. since July 2026, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 30 July 2026

Does David Wakefield have a current investment-adviser registration?

David Wakefield has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has David Wakefield passed?

David Wakefield has passed 3 licensing exams: the Series 27, Series 99TO and SIE. The earliest, the Series 27, was passed in October 2020.

Source: IAPD individual record, checked 17 October 2026

Leadership at D.A. Davidson & Co.

Sources

  1. IAPD individual record, CRD 3095440. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of D.A. Davidson & Co., filed 30 July 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with David Wakefield or D.A. Davidson & Co. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.