TF
Thomas P. Fink
PRINCIPAL SECURITIES
LAKE OSWEGO, OR 97035
Some features on this profile are disabled
CRD#: 1159344
TF
Professional summary
Thomas Paul Fink, who also goes by Tom Fink, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Lake Oswego, Oregon.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Thomas has worked at 9 firms and has passed the Series 63, Series 6TO, SIE and Series 2 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tom Fink
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
**CHINOOK RV STORAGE. 05/2010-PRESENT. 10% OWNER OF RV STORAGE. **GROUP ANNUITIES WITH STANDARD INSURANCE, CONTINUE TO SERVICE & RECEIVE COMMISSIONS ON GROUP ANNUITIES I SOLD WITH STANDARD INSURANCE BEFORE I CAME TO PRINCOR, 5/29/10. **OUTSIDE INSURANCE, BROKER, LTC, DI, FIXED ANNUITIES, LIFE, HEALTH. 11/13/13. **Janus Youth Programs; Not Investment Related; 5665 Meadows Rd, Suite 350, Oswego, OR 97035; Board member; Scholarship Chairperson; Start Date: 05/19/2010; 0 hrs per month; 0 during trading hours. **Fixed Insurance; Investment Related; Lake Oswego, OR; Agent; Group life/health/di; Start Date: 11/01/2019; 5 hrs per month; 5 during trading hours. **PORTLAND EXECUTIVES ASSOCIATION POSITION: Membership Committee Chair NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 07/01/2025 ADDRESS: PO Box 4342, Portland OR 97208, United States DESCRIPTION: Heading committee that finds new members for our association. **ST MARY'S ACADEMY POSITION: Committee Member NATURE: Member of Finance and Investment Committee INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2024 ADDRESS: 1615 SW 5th Ave, Portland, OR 97201, United States DESCRIPTION: Make recommendation on tuition and review financial statements. I do not have access to cash or investment recommendations.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Paul Fink's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Paul Fink's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 11, 2005 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 5885 Meadows Rd Ste 800, Lake Oswego, OR 97035RIA
BD
CRD#: 1137
LAKE OSWEGO, OR
Current
September 15, 2004 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 5885 Meadows Rd Ste 800, Lake Oswego, OR 97035RIA
BD
CRD#: 1137
LAKE OSWEGO, OR
Past
July 2, 2002 - September 22, 2004
CARILLON INVESTMENTS, INC.
BD
CRD#: 14646
CINCINNATI, OH
Past
February 23, 2001 - July 25, 2002
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
PHOENIX, AZ
Past
January 11, 2001 - March 20, 2001
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ST. PAUL, MN
Past
September 1, 2000 - December 31, 2000
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
PHOENIX, AZ
Past
January 2, 1996 - September 6, 2000
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
March 20, 1991 - December 31, 1995
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
PHOENIX, AZ
Past
February 14, 1986 - April 2, 1991
GODWINS SECURITIES, INC.
BD
CRD#: 4012
SEATTLE, WA
Past
April 25, 1984 - February 14, 1986
FBH EQUITIES OF OREGON, INC.
BD
CRD#: 8214
Past
March 23, 1984 - June 5, 1984
TITAN/VALUE EQUITIES GROUP, INC.
BD
CRD#: 6359
Past
August 12, 1983 - March 24, 1986
AETNA LIFE INSURANCE AND ANNUITY COMPANY
BD
CRD#: 13256
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(9/15/2004)
RR
Arizona(3/16/2016)
RR
California(11/6/2007)
RR
Georgia(5/26/2022)
RR
New York(11/29/2018)
RR
Oregon(9/15/2004)
IAR
Oregon(2/11/2005)
RR
Tennessee(8/13/2021)
RR
Washington(9/15/2004)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 2
Date: 9/15/1982
Non-Member General Securities ExaminationSRO Registrations
RR
FINRA
Current Firm
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
711 High Street, Des Moines, IA 50392
Mailing Address
Principal Financial Group 711 High Street, Des Moines, IA 50392-2080
Phone number
(888) 774-6267
Established
Iowa since 05/01/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,436
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
