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Troy Gaul

33 Years of Experience
Salem, OR
2 DisclosuresBroker

Troy Gaul is a registered investment advisor at D.A. Davidson & CO., based in Salem, OR, with 33 years of industry experience. Troy operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management, Retirement Planning. Their firm serves 70,118 clients with $42B in assets under management.

Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
686 advisors
IM Fee
Planning only
Assets Under Management
$41.8B

Fee Structure

Investment management only (planning not offered)

Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.

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Location

Equitable Center, 530 Center Street Ne, Suite 400, Salem, OR, 97301

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
September 2015
Settled
Customer Dispute
November 2000
Settled
Other Business Activities

Troy is the President of Regis St. Mary's Foundation, a non-profit organization, since 2018. He dedicates a few hours per week to overseeing board meetings and planning for future funding of the schools.

Employment History
Current Registrations
D.A. Davidson & CO.
February 2014 - Present · 12 yrs 5 mos
D.A. Davidson & CO.Broker
January 2014 - Present · 12 yrs 6 mos
Previous Registrations
Wells Fargo Advisors, LLC
January 2011 - January 2014 · 3 yrs
Wells Fargo Advisors, LLCBroker
January 2011 - January 2014 · 3 yrs
Wells Fargo Investments, LLC
July 2006 - January 2011 · 4 yrs 6 mos
Wells Fargo Investments, LLCBroker
June 2006 - January 2011 · 4 yrs 7 mos
Piper Jaffray & CO.Broker
November 1998 - July 2006 · 7 yrs 8 mos
U.S. Bancorp Investments, INC.Broker
September 1997 - November 1998 · 1 yr 2 mos
U.S. Bancorp SecuritiesBroker
September 1993 - September 1997 · 4 yrs
Paulson Investment Company, INC.Broker
April 1992 - June 1993 · 1 yr 2 mos
State Registrations16 states
AKAZCACOCTFLGAHIIDMTNVOHORTXVAWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
Troy Gaul - Financial Advisor | TrueAdvisor