John Davis has been an investment adviser representative at Advisor Compliance Partners since October 2025, and is not listed among the firm’s executive officers or direct owners.
Advisor Compliance Partners LLC is a Kailua-Kona, HI firm with $132M under management, 173 clients and 3 advisers across 3 offices, as of its April 2026 filing.
John Davis’ longest registration was 12 years at Financial Advocates Investment Management (2012–2025). Before joining Advisor Compliance Partners in 2025, John Davis was registered through LPL Financial LLC and Signaline Investments.
- LPL Financial LLC– · under a yearSeattle, WA · Adviser representative · Firm CRD 6413
- Acp Investment ManagementCurrent– present · 1 yearSeattle, WA · Adviser representative · Firm CRD 338484
- LPL Financial LLC– · under a yearSeattle, WA · Adviser representative · Firm CRD 6413
- LPL Financial LLC– · 2 yearsSeattle, WA · Adviser representative · Firm CRD 6413
- Signaline Investments– · 2 yearsSeattle, WA · Adviser representative · Firm CRD 282622
- Financial Advocates Investment Management– · 12 yearsSeattle, WA · Adviser representative · Firm CRD 151298
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 8 yearsSeattle, WA · Adviser representative · Firm CRD 7691
- Morgan Stanley– · under a yearSeattle, WA · Adviser representative · Firm CRD 7556
Investment adviser representative registrations
John Davis is registered as an investment adviser representative in Washington, since October 2025.
- WashingtonSince 8 October 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 31 | Futures Managed Funds Examination | 14 November 2002 |
| Series 65 | Uniform Investment Adviser Law Examination | 23 September 2002 |
| Series 63 | Uniform Securities Agent State Law Examination | 19 September 2002 |
| Series 7 | General Securities Representative Examination | 26 August 2002 |
- Name
- Securities Industry Essentials Examination
- Name
- Futures Managed Funds Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- John Murray Davis
- CRD
- 4142830
- Firm
- Advisor Compliance Partners · CRD 338484
- Office
- 2101 4th Ave, Ste 710, Seattle, WA 98121
- Registration
- Investment adviser and broker registrations
- In the industry since
- September 2002
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does John Davis work?
John Davis is an investment adviser representative registered through Advisor Compliance Partners LLC since October 2025, and is not listed among the firm’s executive officers or direct owners.
Is John Davis a financial advisor?
Yes. John Davis has a current investment-adviser registration in Washington, through Advisor Compliance Partners since October 2025.
How many years of experience does John Davis have?
John Davis has 24 years in the financial industry, since September 2002, across 6 adviser firms.
What exams has John Davis passed?
John Davis has passed 4 licensing exams: the Series 7, Series 63, Series 65 and Series 31. The earliest, the Series 7, was passed in August 2002. FINRA credited John Davis with the SIE, which began in October 2018.
Where did John Davis work before Advisor Compliance Partners?
Before Advisor Compliance Partners, John Davis was registered through LPL Financial LLC, April 2025 to April 2025; LPL Financial LLC, December 2017 to October 2020; Signaline Investments, April 2016 to October 2018; Merrill Lynch, Pierce, Fenner & Smith Incorporated, October 2003 to February 2012; Morgan Stanley, October 2002 to October 2003.
Where is John Davis based?
John Davis’ registered office is in Seattle, WA.
Is John Davis registered with FINRA?
Yes. John Davis has a current broker registration, under CRD 4142830.
Source: FINRA BrokerCheck
How can I verify John Davis’ record?
Search CRD 4142830 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish John Davis’ full registration record.