Research Associate, Financial Institutions Group
New York, NY
Equity Capital Markets – Institutional Research /
Full Time /
On-site
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Standard Application Questions
Have you ever been employed by D.A. Davidson Companies?
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Yes
No
If yes, what was your last year of employment with the company? Type N/A if not applicable
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Have you previously applied for employment with D.A. Davidson Companies?
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Cannot Recall
Do you or will you in the future require sponsorship for employment in the United States?
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Are you able to perform the essential functions of the position(s) for which you are applying with or without reasonable accommodations?
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No
Have you been convicted of, or pled guilty or nolo contendere (“no contest”) in a domestic, foreign, or military court to any felony in the past 10 years?
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Yes
No
Have you been convicted of, pled guilty or nolo contendere (“no contest”) in a domestic, foreign, or military court to a misdemeanor involving investments or investment-related business or any fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, extortion, or conspiracy to commit any of these offenses in the past 10 years?
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Yes
No
IMPORTANT – PLEASE READ: If you are employed by D.A. Davidson Companies, securities industry regulations require that your fingerprints be submitted to the FBI. All criminal history, including arrests and charges that did not result in a conviction, and including arrests, charges or convictions that have been expunged, will be disclosed to D.A. Davidson Companies and reviewed by a limited number of people. In addition, FINRA may require you to submit documentation regarding the incident. Conviction of or “no contest” pleas to certain crimes in the last 10 years may disqualify you from working for D.A. Davidson Companies, even if you were a minor or if the record was sealed or expunged. If you have concerns or questions, please contact D.A. Davidson Companies’ Director of Human Capital at 1-800-332-5915
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I have read this
Are you presently licensed in the insurance or securities industry? If so, are the disclosures on your Form U-4 up to date?
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Yes
No
Have you ever been licensed in the insurance or securities industry?
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Yes
No
If you answered “Yes” to either licensing question above, have you ever been disciplined by a regulatory authority, or had a license suspended or revoked?
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Yes
No
N/A
If you are hired by D.A. Davidson Companies, do you acknowledge that you will be required, in accordance with firm policy and as a condition of employment, to move your securities accounts (limited exceptions for certain account types) to D.A. Davidson Companies within 60 days of your hire?
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Yes
No
Has a bonding company ever denied, paid out on, or revoked a bond for you?
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Yes
No
Do you have an unsatisfied judgements or liens against you?
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