Douglas Woodcock

Douglas Woodcock

Douglas Woodcock is a Bates Group Affiliate Expert, where he uses his 36 years of experience in asset management, capital markets, investment banking and broker-dealer senior management to provide expert consulting and testimony on complex securities litigation and arbitration issues.

Mr. Woodcock’s areas of expertise include institutional sales and trading, equity research, investment banking, corporate finance, compliance, hedge funds, market structure and regulatory issues.

Prior to joining Bates, Mr. Woodcock was a senior executive at D. A. Davidson & Co., an 86-year-old full service broker-dealer with $50 billion in assets under management. From 2004 through 2016, he served as President of Equity Capital Markets with management responsibility for institutional sales, trading, research, investment banking and capital markets. His duties included business development and strategy, risk management, compliance, staffing and employment matters as well as actively marketing the firm’s M&A advisory, capital raising and wealth management capabilities. Upon his retirement in 2016, Mr. Woodcock was the longest-serving member of the Davidson Companies Board of Directors and a senior member of the Executive Committee and Davidson Investment Advisors Board.

Mr. Woodcock’s long career in the securities industry includes experience in retail wealth management and as a branch office manager at Dean Witter Reynolds, as well as 5 years of buy-side experience as a partner in a hedge fund. Additionally, he co-owned and managed Jensen Securities Co., an institutional research broker-dealer that was acquired by D.A. Davidson & Co. in 1998. Mr. Woodcock negotiated the sale to Davidson and led the integration effort.

While at D.A. Davidson & Co., Mr. Woodcock was actively involved in industry issues and policy through the Securities Industry and Financial Markets Association (SIFMA). He served on SIFMA’s Institutional Brokerage and Equity Capital Markets committees and co-chaired the SIFMA Market Structure sub-committee on Market Data Dissemination. Mr. Woodcock was one of the industry executives chosen to present SIFMA’s market structure recommendations to Chairwoman Mary Jo White and the SEC Commissioners in October 2014.

Mr. Woodcock’s many years of experience building and managing institutional equities and investment banking businesses provide him with unique insight into the challenges and opportunities the industry faces and a comprehensive understanding of the risk management infrastructure, policies and procedures required by broker-dealers in a highly regulated environment.


Credentials

EXPERIENCE

D.A. Davidson & Co., President, Equity Capital Markets, 2004-2016

D.A. Davidson & Co., Managing Director, Institutional Equities, 1998-2003

Jensen Securities Co., Managing Director, 1991-1998

Dakota Partners, Partner, 1986-1991

Dean Witter Reynolds, Vice President and Office Manager, 1981-1986

A.G. Becker & Co., Operations Manager, 1980-1981

EDUCATION

University of Guelph, Guelph, Ontario, BSc, 1976

  • (Attended summer semester only while on Canadian Ski Team)
PROFESSIONAL QUALIFICATIONS

FINRA Registrations (as of December 31, 2016)

Series 3 – National Commodities Futures

Series 5 – Interest Rate Options                                        

Series 7 – General Securities Representative  

Series 8 – General Securities Sales Supervisor                

Series 24 – General Securities Principal

Automat:ee