Harry Striplin has been Chief Compliance Officer of Orca Investment Management since January 2025, is a control person of the firm and directly owns under 5% of it.
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.
Harry Striplin is Chief Compliance Officer of Orca Investment Management, LLC. He joined Orca as Chief Compliance Officer in January 2025, and was Chief Compliance Officer of its affiliate Paulson Investment Company, LLC from 2019 through 2024. He was previously Chief Compliance Officer for Umpqua Investments, Inc. for 11 years, and has more than 33 years of service as a Chief Compliance Officer in the small firm environment.
Harry Striplin’s longest registration was 10 years at Umpqua Investments, Inc. (2008–2019). Before joining Orca Investment Management in 2025, Harry Striplin was registered through Paulson Investment Advisors, LLC and Paulson Investment Company, LLC.
- – present · 1 yearLake Oswego, OR · Adviser representative · Firm CRD 144377
- Paulson Investment Advisors, LLC– · 5 yearsPortland, OR · Adviser representative · Firm CRD 304328
- Paulson Investment Company, LLC– · 1 yearLake Oswego, OR · Adviser representative · Firm CRD 5670
- Umpqua Investments, Inc.– · 10 yearsPortland, OR · Adviser representative · Firm CRD 1254
- Paulson Investment Company, Inc.– · 7 yearsPortland, OR · Adviser representative · Firm CRD 5670
Professional designations
Listed by Orca Investment Management
- Certified Regulatory and Compliance Professional (CRCP)
Investment adviser representative registrations
Harry Striplin is registered as an investment adviser representative in Oregon, since January 2025.
- OregonSince 3 January 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| Series 52TO | Municipal Securities Representative Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 29 April 2002 |
| Series 53 | Municipal Securities Principal Examination | 3 January 1992 |
| Series 24 | General Securities Principal Examination | 25 April 1991 |
| Series 63 | Uniform Securities Agent State Law Examination | 22 April 1988 |
| Series 4 | Registered Options Principal Examination | 14 January 1985 |
| Series 7 | General Securities Representative Examination | 19 December 1981 |
- Name
- Compliance Officer Examination
- Name
- Municipal Securities Representative Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Municipal Securities Principal Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Registered Options Principal Examination
- Name
- General Securities Representative Examination
- Full name
- Harry Lynn Striplin
- CRD
- 1023235
- Firm
- Orca Investment Management · CRD 144377
- Role
- Chief Compliance Officer
- Office
- 6 Centerpointe Drive, Suite 300, Lake Oswego, OR 97035
- Registration
- Investment adviser and broker registrations
- In the industry since
- January 1982
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- orcaim.com
Where does Harry Striplin work?
Harry Striplin has been Chief Compliance Officer of Orca Investment Management, LLC since January 2025, and is a control person of the firm.
Is Harry Striplin a financial advisor?
Yes. Harry Striplin has a current investment-adviser registration in Oregon, through Orca Investment Management since January 2025.
How many years of experience does Harry Striplin have?
Harry Striplin has 44 years in the financial industry, since January 1982, across 4 adviser firms.
What exams has Harry Striplin passed?
Harry Striplin has passed 9 licensing exams: the Series 7, Series 4, Series 63, Series 24, Series 53, Series 65, Series 14, Series 52TO and Series 99TO. The earliest, the Series 7, was passed in December 1981. FINRA credited Harry Striplin with the SIE, which began in October 2018.
Where did Harry Striplin work before Orca Investment Management?
Before Orca Investment Management, Harry Striplin was registered through Paulson Investment Advisors, LLC, November 2019 to December 2024; Paulson Investment Company, LLC, September 2019 to December 2020; Umpqua Investments, Inc., December 2008 to August 2019; Paulson Investment Company, Inc., February 2001 to December 2008.
Where is Harry Striplin based?
Harry Striplin’s registered office is in Lake Oswego, OR.
Is Harry Striplin registered with FINRA?
Yes. Harry Striplin has a current broker registration, under CRD 1023235.
Source: FINRA BrokerCheck
How can I verify Harry Striplin’s record?
Search CRD 1023235 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Harry Striplin’s full registration record.