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RIA / WealthAdvisordual registered (broker-dealer)39 years in industry

GENE PARVON DICKEY

Advisor at D.A. DAVIDSON & CO.

Austin, TX | AUSTIN, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:81c6fe74-a03b-fe9b-ca98-8a1636fca8aa

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Feb 13, 1998 to Sep 14, 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: May 12, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: May 12, 1987
First registration: Feb 13, 1998
Dual registered: yes, broker-dealer
IAPD individual key: 1658322

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	Mar 27, 2023	n/a	yes	Austin, TX\|AUSTIN, TX	Current employment
HILLTOP SECURITIES INC.	Bd affiliated wealth	May 10, 2013	Apr 22, 2023	no	AUSTIN, TX	Previous registration
RAYMOND JAMES & ASSOCIATES, INC.	National bd RIA	Feb 13, 2013	May 13, 2013	no	AUSTIN, TX	Previous registration
MORGAN KEEGAN & COMPANY, LLC	Former SEC adviser	Feb 14, 2006	Feb 13, 2013	no	AUSTIN, TX	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Feb 13, 1998	Feb 23, 2006	no	AUSTIN, TX	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
HILLTOP SECURITIES INC.	D.A. DAVIDSON & CO.	Apr 22, 2023	Mar 27, 2023	-26	Firm change	Ibd to RIA
RAYMOND JAMES & ASSOCIATES, INC.	HILLTOP SECURITIES INC.	May 13, 2013	May 10, 2013	-3	Firm change	Other
MORGAN KEEGAN & COMPANY, LLC	RAYMOND JAMES & ASSOCIATES, INC.	Feb 13, 2013	Feb 13, 2013	0	Bulk transfer	Other
UBS FINANCIAL SERVICES INC.	MORGAN KEEGAN & COMPANY, LLC	Feb 23, 2006	Feb 14, 2006	-9	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
6220:199:TX:2023-04-22	Apr 22, 2023	Mar 27, 2023	AUSTIN, TX	Firm change

Relationships

Registered with (5)

→ D.A. DAVIDSON & CO.Registered adviserregistration: current employment
Mar 27, 2023 to presentfactForm ADV
→ HILLTOP SECURITIES INC.Registered adviserregistration: previous registration
May 10, 2013 to Apr 22, 2023factForm ADV
→ RAYMOND JAMES & ASSOCIATES, INC.Registered adviserregistration: previous registration
Feb 13, 2013 to May 13, 2013factForm ADV
→ MORGAN KEEGAN & COMPANY, LLCRegistered adviserregistration: previous registration
Feb 14, 2006 to Feb 13, 2013factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Feb 13, 1998 to Feb 23, 2006factForm ADV

Dated events

Occurred
Apr 22, 2023
Advisor changed firm
Gene Parvon Dickey left Hilltop Securities Inc. for D.A. Davidson & Co. (registered 2023-03-27)
Form ADVobserved 5 days ago