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Carlos Alberto Alcaine

D.a. Davidson & Co.

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About Carlos Alberto Alcaine

Carlos Alcaine has been an active financial professional since 1984. Carlos is a registered representative of D.a. Davidson & Co. Previously, Carlos worked at Robert W. Baird & Co. Incorporated and Wachovia Securities, LLC. Carlos holds a Series 7, 63, 65, 3, 8, 9, 10, and SIE. Carlos is licensed to sell securities in Alaska, Arizona, California, Colorado, Florida, Georgia, Hawaii, Idaho, Kansas, Louisiana, Maine, Massachusetts, Nevada, New York, North Carolina, Ohio, Oklahoma, Oregon, Pennsylvania, Tennessee, Texas, Washington, Wisconsin, and Wyoming.

Firm Information

Carlos Alcaine is currently registered with D.a. Davidson & Co.. D.A. Davidson & Co. is a corporation that was formed in May 1935, and has its main office located in GREAT FALLS, Montana. They offer a wide range of financial planning services, including portfolio management for individuals and businesses, pension consulting, educational seminars, and publication of periodicals. They also provide selection of other advisors and manage portfolios for investment companies and pooled investment vehicles. The firm is registered with the SEC and in all 50 states, as well as Puerto Rico. Their regulatory assets under management total $36,175,333,459.
D.a. Davidson & Co.

8 THIRD STREET NORTH

GREAT FALLS, MT 59401

$36.18B

Assets Under Management

1,000

Total Clients

1,002

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Carlos Alcaine’s Registration & Firm History

CA

08/23/2019 - Present

D.a. Davidson & Co. (ROSEVILLE CA)

CA

11/07/2008 - 09/19/2019

ROBERT W. BAIRD & CO. INCORPORATED (ROSEVILLE CA)

CA

07/26/2002 - 11/07/2008

WACHOVIA SECURITIES, LLC (ROSEVILLE CA)

NY

03/09/2002 - 08/06/2002

RBC DAIN RAUSCHER INC. (NEW YORK NY)

CA

07/02/1996 - 03/09/2002

SUTRO & CO. INCORPORATED (SAN FRANCISCO CA)

NJ

01/28/1995 - 07/16/1996

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

NY

11/14/1989 - 01/28/1995

KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)

NY

09/21/1984 - 10/17/1989

SHEARSON LEHMAN HUTTON INC. (NEW YORK NY)

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Licenses & Designations

IA

Issued 01/15/1992

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/03/1984

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 01/02/2023

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 05/09/1994

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/29/1984

Series 3 - National Commodity Futures Examination

BC

Issued 09/15/1984

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There is public disclosure for Carlos Alberto Alcaine. Review regulatory record here.
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