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Steven Carter

D.a. Davidson & Co.

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About Steven Carter

Steven Carter is a financial professional with a background in investment banking. Steven has held a Series 79TO, Series 63 and SIE license since January 2023 and currently works at D.a. Davidson & Co. Steven is a registered representative in Oregon, which is where he is currently based. Prior to joining D.a. Davidson & Co., Steven worked at B. RILEY SECURITIES, INC. in Los Angeles.

Firm Information

Steven Carter 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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Steven Carter’s Registration & Firm History

OR

05/23/2024 - Present

D.a. Davidson & Co. (PORTLAND OR)

CA

11/14/2022 - 10/24/2023

B. RILEY SECURITIES, INC. (Los Angeles CA)

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Licenses & Designations

BC

Issued 01/14/2023

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 11/12/2022

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Steven Carter.
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