Pendleton, OR Office
TeamData sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
D.A. Davidson & Co.
Enterprise
Firm-wide stats for D.A. Davidson & Co.
About
D.A. Davidson & Co. provides investment advisory and brokerage services to a wide range of clients, including employer‑sponsored retirement plans, individual investors (including high‑net‑worth clients), charitable organizations, and corporate clients. Its offerings include ERISA retirement plan advisory (3(21) and 3(38) services), wrap fee programs and equity research, modular and comprehensive financial planning (On Course and Holistiplan reports), and a Davidson Private Wealth program for clients with more than $20 million in stated net worth.
The firm frames its advisory work under the Advisers Act fiduciary standard and, for retirement accounts, ERISA fiduciary duties, using both qualitative and quantitative analysis and third‑party tools to recommend and monitor investments. For plans it can provide non‑discretionary 3(21) advice or discretionary 3(38) selection and monitoring (including limited discretionary management of risk‑based model portfolios), and its planning process employs scenario analysis and Monte Carlo‑style projections to illustrate potential outcomes.
Several operational features distinguish D.A. Davidson from many large enterprise advisers: it serves as a municipal advisor and participates in municipal underwriting activities (noting a prior SEC MCDC matter related to municipal disclosure practices), an activity that is uncommon among peers. The firm also operates affiliated custodial entities (D.A. Davidson Trust Services and D.A. Davidson Trust Company) and acts as a qualified custodian for certain IRA and 403(b) assets, while providing a no‑additional‑cost Private Wealth planning program for clients with over $20 million in stated net worth.
Based on D.A. Davidson & Co.
Demographic focus
Based on D.A. Davidson & Co.
Location
111 South Main Street
Pendleton OR 97801
Advisors at this office
3
Advisors at this office
Mark H
Series 63, Series 65
Pendleton, OR
D.A. Davidson & Co.
Mark Hales is a financial advisor with D.A. Davidson & Co. in Pendleton, OR, holding Series 63 and Series 65 licenses with 29 years of industry experience. He has been with D.A. Davidson since 2008. Outside of his advisory role, he serves as president of Hales Farming, Inc., a family farm corporation where he oversees crop and management decisions. D.A. Davidson & Co. provides investment advisory and brokerage services to a diverse client base, including retirement plans, individual and high-net-worth investors, charitable organizations, and corporate clients. The firm offers a range of services from ERISA retirement plan advisory to comprehensive financial planning and operates under fiduciary standards.
Michael H
Series 66
Pendleton, OR
D.A. Davidson & Co.
Michael Hales is a financial advisor at D.A. Davidson & Co. with 11 years of industry experience. He holds the Series 66 designation and has worked previously at TD Ameritrade and Lord, Abbett & Co. LLC. He is based in Pendleton, Oregon. D.A. Davidson & Co. provides investment advisory and brokerage services to a diverse client base, including employer-sponsored retirement plans, individual investors, charitable organizations, and corporate clients. The firm offers ERISA retirement plan advisory services, equity research, comprehensive financial planning, and a Private Wealth program for high-net-worth clients, operating under the Advisers Act fiduciary standard and ERISA fiduciary duties.
Lisa N
Series 63, Series 65
Pendleton, OR
D.A. Davidson & Co.
Lisa Newman is a financial advisor with D.A. Davidson & Co., holding Series 63 and Series 65 designations and bringing 21 years of industry experience. She has been with D.A. Davidson since 2008. D.A. Davidson & Co. provides investment advisory and brokerage services to a diverse clientele, including retirement plans, individual investors, charitable and corporate clients. The firm operates under the Advisers Act fiduciary standard and offers services such as ERISA retirement plan advisory, wrap fee programs, and a private wealth program for clients with significant net worth.
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