Warren Edward Mach

Employer firm

D.a. Davidson & Co. CRD 199

$41.8B regulatory AUM 1,050 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers

D.A. Davidson & Co.

8 Third Street North, Great Falls, MT 59401 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2018-10-10
WA	RA	APPROVED	2010-04-16

TX RA
APPROVED_RES

Since 2018-10-10
WA RA
APPROVED

Since 2010-04-16

Branch Locations

1145 Broadway Suite 1320, Tacoma, WA 98402 • United States

Puyallup, WA • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination Yes

Employment History

Organization	City	State	From	To
D.A. Davidson & Co.	Tacoma	WA	03/2010	Present

03/2010 → Present

D.A. Davidson & Co.

Tacoma, WA

Previous Registrations

2006-08-18 → 2010-03-11

Rbc Capital Markets, Llc

Seattle, WA
2006-08-12 → 2006-09-05

Ubs Financial Services Inc.

Seattle, WA
1998-06-25 → 2006-08-12

Piper Sandler & Co.

Seattle, WA

Minneapolis, MN

Other Businesses

ASPHALT PATCH SYSTEMS; NON-INVESTMENT RELATED; PUYALLUP, WA; CORPORATION; CFO; START 3/1/23; 8 HR/MO; NO TIME DEVOTED DURING SECURITIES TRADING HOURS; DISTRIBUTIONS, JOB COSTING AND BOARD MEETINGS.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1992-12-03
S63	Uniform Securities Agent State Law Examination	1983-03-24

S65 Uniform Investment Adviser Law Examination

1992-12-03
S63 Uniform Securities Agent State Law Examination

1983-03-24

View on SEC IAPD