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Theodore Nelson Rich

D.a. Davidson & Co.

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About Theodore Nelson Rich

Theodore Nelson Rich is a financial advisor with over 30 years of experience. Theodore is currently registered with D.a. Davidson & Co. and holds licenses in Arizona, California, Colorado, Florida, Hawaii, Idaho, Illinois, Massachusetts, Missouri, Montana, Nevada, North Carolina, Oklahoma, Oregon, South Carolina, Tennessee, Texas, Virginia, and Washington. Theodore is a Series 6, 7, 24, 63 and 65 licensed professional and has held past positions with WELLS FARGO CLEARING SERVICES, LLC, WELLS FARGO INVESTMENTS, LLC, WELLS FARGO BROKERAGE SERVICES, L.L.C., WELLS FARGO SECURITIES INC., and MARKETING ONE SECURITIES, INC.. Theodore is a registered Investment Advisor and Broker-Dealer.

Firm Information

Theodore Rich 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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Theodore Rich’s Registration & Firm History

NV

09/27/2022 - Present

D.a. Davidson & Co. (MINDEN NV)

NV

01/03/2011 - 04/07/2020

WELLS FARGO CLEARING SERVICES, LLC (CARSON CITY NV)

NV

12/13/2000 - 01/03/2011

WELLS FARGO INVESTMENTS, LLC (GARDNERVILLE NV)

MN

01/16/2001 - 08/21/2002

WELLS FARGO BROKERAGE SERVICES, L.L.C. (MINNEAPOLIS MN)

CA

09/20/1993 - 05/02/2001

WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)

MN

03/05/1999 - 12/13/2000

WELLS FARGO BROKERAGE SERVICES, L.L.C. (MINNEAPOLIS MN)

OR

11/09/1992 - 09/20/1993

MARKETING ONE SECURITIES, INC. (PORTLAND OR)

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Licenses & Designations

IA

Issued 03/20/1998

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 11/13/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/18/1995

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/27/1993

Series 7 - General Securities Representative Examination

BC

Issued 11/03/1992

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There is public disclosure for Theodore Nelson Rich. Review regulatory record here.
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