David Maisel has been an investment adviser representative at Orca Investment Management since March 2026, and is not listed among the firm’s executive officers or direct owners.
Orca Investment Management, LLC is a Lake Oswego, OR firm with $212M under management, 364 clients and 3 advisers across 2 offices, as of its May 2026 filing.
David Maisel’s longest registration was 6 years at M Holdings Securities, Inc. (2018–2024). Before joining Orca Investment Management in 2026, David Maisel was registered through M Holdings Securities, Inc.
- – present · under a yearPortland, OR · Adviser representative · Firm CRD 144377
- M Holdings Securities, Inc.– · 6 yearsPortland, OR · Adviser representative · Firm CRD 43285
Investment adviser representative registrations
David Maisel is registered as an investment adviser representative in Oregon, since March 2026.
- OregonSince 19 March 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 14 | Compliance Officer Examination | 6 October 2026 |
| Series 53 | Municipal Securities Principal Examination | 8 December 2025 |
| Series 52TO | Municipal Securities Representative Examination | 15 September 2025 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| Series 57TO | Securities Trader Exam | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 55 | Limited Representative-Equity Trader Exam | 11 June 2001 |
| Series 65 | Uniform Investment Adviser Law Examination | 1 May 2001 |
| Series 24 | General Securities Principal Examination | 16 December 1999 |
| Series 63 | Uniform Securities Agent State Law Examination | 2 September 1988 |
| Series 7 | General Securities Representative Examination | 20 August 1988 |
- Name
- Compliance Officer Examination
- Name
- Municipal Securities Principal Examination
- Name
- Municipal Securities Representative Examination
- Name
- Operations Professional Examination
- Name
- Securities Trader Exam
- Name
- Securities Industry Essentials Examination
- Name
- Limited Representative-Equity Trader Exam
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- David Allen Maisel
- CRD
- 1865794
- Firm
- Orca Investment Management · CRD 144377
- Office
- 10220 SW Greenburg RD, STE 380, Portland, OR 97223
- Registration
- Investment adviser and broker registrations
- In the industry since
- July 1991
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does David Maisel work?
David Maisel is an investment adviser representative registered through Orca Investment Management, LLC since March 2026, and is not listed among the firm’s executive officers or direct owners.
Is David Maisel a financial advisor?
Yes. David Maisel has a current investment-adviser registration in Oregon, through Orca Investment Management since March 2026.
How many years of experience does David Maisel have?
David Maisel has 35 years in the financial industry, since July 1991, across 2 adviser firms.
What exams has David Maisel passed?
David Maisel has passed 10 licensing exams: the Series 7, Series 63, Series 24, Series 65, Series 55, Series 99TO, Series 57TO, Series 52TO, Series 53 and Series 14. The earliest, the Series 7, was passed in August 1988. FINRA credited David Maisel with the SIE, which began in October 2018.
Where did David Maisel work before Orca Investment Management?
Before Orca Investment Management, David Maisel was registered through M Holdings Securities, Inc., June 2018 to November 2024.
Where is David Maisel based?
David Maisel’s registered office is in Portland, OR.
Is David Maisel registered with FINRA?
Yes. David Maisel has a current broker registration, under CRD 1865794.
Source: FINRA BrokerCheck
How can I verify David Maisel’s record?
Search CRD 1865794 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish David Maisel’s full registration record.