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Warren Mach

D.A. Davidson & CO.
46 Years of Experience
Puyallup, WA
3 DisclosuresBroker
View SEC Summary
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Warren Mach is a registered investment advisor at D.A. Davidson & CO., based in Puyallup, WA, with 46 years of industry experience. Warren is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Corporate Executives, Estate Planning, Financial Planning & Coaching, and 4 more. Their firm serves 70,118 clients with $42B in assets under management.

D.A. Davidson & CO.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
695 advisors
IM Fee
Planning only
Assets Under Management
$41.8B

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
  • Financial planning services — generally ranges from $1,500 to $15,000 or more depending on the complexity of the client's financial circumstances and local market considerations.
One-Time Plan:$1,500 - $15,000
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Location

Puyallup, WA

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History

Regulatory History (3)
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
May 2012
Settled
Employment Separation After Allegations
March 2010
Customer Dispute
October 2008
Withdrawn
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Warren is the CFO of Asphalt Patch Systems, a non-investment related corporation. He spends a few hours per week on distributions, job costing, and board meetings.

Employment History
Current Registrations
D.A. Davidson & CO.
April 2010 - Present · 16 yrs 6 mos
D.A. Davidson & CO.Broker
March 2010 - Present · 16 yrs 7 mos
D.A. Davidson & CO.
March 2010 - Present · 16 yrs 7 mos
Previous Registrations
RBC Capital Markets CorporationBroker
August 2006 - March 2010 · 3 yrs 7 mos
RBC Capital Markets Corporation
August 2006 - March 2010 · 3 yrs 7 mos
UBS Financial Services INC.Broker
August 2006 - September 2006 · 1 mo
UBS Financial Services INC.
August 2006 - September 2006 · 1 mo
Piper Jaffray & CO.
June 1998 - August 2006 · 8 yrs 2 mos
Piper Jaffray & CO.Broker
April 1996 - August 2006 · 10 yrs 4 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
November 1991 - April 1996 · 4 yrs 5 mos
Oppenheimer & CO., INC.Broker
May 1988 - December 1991 · 3 yrs 7 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
March 1983 - May 1988 · 5 yrs 2 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 1978 - January 1979 · 4 mos
Merrill Lynch, Pierce, Fenner & Smith, INC.Broker
March 1976 - September 1978 · 2 yrs 6 mos
State Registrations19 states
AKAZCACOFLIDILMTNYOHOKORRISCSDTNTXVAWA
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.
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