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Patricia Alba Fired by D.A. Davidson

Patricia Alba (CRD #: 5441830) has been fired by D.A. Davidson & Co. This disclosure appears on her BrokerCheck record, accessed on October 4, 2025. Keep reading if you have questions regarding her alleged outside business. 

Employment Separation After Allegations 

On September 15, 2025, D.A. Davidson fired Patricia Alba following allegations that she admitted she had engaged in outside business activity without providing notice to her firm. 

Outside Business and Selling Away

FINRA Rule 3270 requires brokers to inform their firm of any outside business activities or any investments sold away from the firm. The brokerage firm may prohibit the activity if the firm believes the proposed activity may compromise the broker’s duties. Firms may also require brokers to seek approval for any outside business.

Patricia Alba has no outside business reported on her detailed BrokerCheck report. 

Background Information 

Patricia Alba has passed the following exams: 

  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 6 Investment Company Products/ Variable Contracts Representative Examination 

She has registered with the following firms: 

  • D.A. Davidson & Co. (CRD #: 199) 
  • LPL Financial (CRD #: 6413) 
  • Infinex Investments (CRD #: 35371) 
  • Essex National Securities (CRD #: 25454) 

Kurta Law Can Help 

If you have worked with Patricia Alba and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.

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