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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

CATERINA F FERRARO

Advisor at D.A. DAVIDSON & CO.

Seattle, WA | SEATTLE, WA

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Search this name across graphsid dfx:ria:73b2a134-5386-977c-0f0a-3227330991a8

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Apr 2, 2003 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: D.A. DAVIDSON & CO.
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 28, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Feb 28, 2002
First registration: Apr 2, 2003
Dual registered: yes, broker-dealer
Other names: KATY FERRARO
IAPD individual key: 2685572

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
D.A. DAVIDSON & CO.	Independent wealth	Sep 28, 2023	n/a	yes	SEATTLE, WA\|Seattle, WA	Current employment
WELLS FARGO ADVISORS	Wirehouse	May 12, 2009	Sep 22, 2023	no	SANTA BARBARA, CA\|SANTA BARBARA, CA\|SEATTLE, WA\|SEATTLE, WA\|SEATTLE, WA\|SEATTLE, WA\|ST. LOUIS, MO	Previous registration
JOHN HANCOCK INVESTMENT MANAGEMENT LLC	Asset manager	Dec 4, 2008	Apr 15, 2009	no	SANTA BARBARA, CA\|BOSTON, MA	Previous registration
JOHN HANCOCK DISTRIBUTORS LLC	n/a	May 5, 2004	Dec 31, 2006	no	SANTA BARBARA, CA\|SANTA BARBARA, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jul 1, 2003	Dec 31, 2003	no	SANTA BARBARA, CA	Previous registration
PRUDENTIAL EQUITY GROUP, LLC	n/a	Apr 2, 2003	Jul 1, 2003	no	SANTA BARBARA, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
WELLS FARGO ADVISORS	D.A. DAVIDSON & CO.	Sep 22, 2023	Sep 28, 2023	6	Firm change	Wirehouse to RIA
JOHN HANCOCK INVESTMENT MANAGEMENT LLC	WELLS FARGO ADVISORS	Apr 15, 2009	May 12, 2009	27	Firm change	Other
JOHN HANCOCK DISTRIBUTORS LLC	JOHN HANCOCK INVESTMENT MANAGEMENT LLC	Dec 31, 2006	Dec 4, 2008	704	Firm change after gap	Other
WELLS FARGO ADVISORS	JOHN HANCOCK DISTRIBUTORS LLC	Dec 31, 2003	May 5, 2004	126	Firm change	Other
PRUDENTIAL EQUITY GROUP, LLC	WELLS FARGO ADVISORS	Jul 1, 2003	Jul 1, 2003	0	Bulk transfer	Other

Relationships

Registered with (5)

→ D.A. DAVIDSON & CO.Registered adviserregistration: current employment
Sep 28, 2023 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
May 12, 2009 to Sep 22, 2023factForm ADV
→ JOHN HANCOCK INVESTMENT MANAGEMENT LLCRegistered adviserregistration: previous registration
Dec 4, 2008 to Apr 15, 2009factForm ADV
→ JOHN HANCOCK DISTRIBUTORS LLCRegistered adviserregistration: previous registration
May 5, 2004 to Dec 31, 2006factForm ADV
→ PRUDENTIAL EQUITY GROUP, LLCRegistered adviserregistration: previous registration
Apr 2, 2003 to Jul 1, 2003factForm ADV

Dated events

Occurred
Sep 22, 2023
Advisor changed firm
Caterina F Ferraro left Wells Fargo Advisors for D.A. Davidson & Co. (registered 2023-09-28)
Form ADVobserved 6 days ago