David
Stockton

Umpqua Investments, Inc

CRD#2352358
Investment Advisor
in Portland, OR
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About this Advisor

David Stockton is a certified financial planner in Portland, Oregon. Currently a registered advisor with Umpqua Investments, Inc, Stockton has an impressive 25 years of professional experience in the financial advisory industry. Stockton holds Series 63 and Series 65 licenses, which certify the advisor as both a securities agent and an investment advisor representative. Stockton can advise customers in Oregon. During their career, Stockton has held roles at Umpqua Investments, Inc and Citigroup Global Markets Inc. Umpqua Investments, Inc is headquartered in Portland, Oregon, and operates out of 17 additional offices in the country. As a company, Umpqua Investments, Inc oversees $720 million in assets throughout 2,332 accounts and employs more than 57 people. The firm's total assets under management places it among the bigger investment advisory firms in the United States. The firm manages 1,612 accounts on a discretionary basis, meaning the advisor makes investment decisions at their discretion. Currently 5% of the investment firm's customers are high-net-worth individuals, meaning they have more than $1 million in investable assets. Umpqua Investments, Inc can offer financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients and selection of other advisers. The firm may charge clients asset-based fees.

Certifications and Registrations

Series 63, Series 65, Certified Financial Planner

Years of Experience

25 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients, Selection of other advisers

Fee Structure

Percentage of Assets

Disclosures

No

Office Location

One Sw Columbia Street Suite 300
Portland, OR 97258

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Umpqua Investments, Inc Brokerage Details

Total Assets Under Management

$704,427,000

OR Average: $1,120,203,312
Total Number of Employees

79

OR Average: 50
Total Number of Accounts

2,195

OR Average: 1,309
Average Account Size

$320,923

OR Average: $855,770

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Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses or institutional clients
  • Selection of other advisers

David Stockton Work History

David has 25 years of experience.

2009 - Present (10 years)

Umpqua Investments, Inc

1993 - 2009 (16 years)

Citigroup Global Markets Inc

Disclosures

David Stockton has no disclosures.

Please visit their SEC profile for more details.

This content was compiled from the SEC and FINRA.

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