TO
Thomas R. Opsahl
COLORADO FINANCIAL SERVICE
Centennial, CO 80112
Some features on this profile are disabled
CRD#: 1222683
TO
Professional summary
Thomas R Opsahl, who also goes by Thomas Ronald Opsahl, Tom Opsahl, is a registered financial professional currently at COLORADO FINANCIAL SERVICE CORPORATION located in Centennial, Colorado.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1984. Thomas has worked at 9 firms and has passed the Series 65, Series 63, Series 99TO, Series 52TO, Series 79TO, SIE, Series 3, Series 7, Series 10, Series 9, Series 4, Series 53, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Thomas Ronald Opsahl | Tom Opsahl
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Thomas R Opsahl'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 10, 2017 - Present
COLORADO FINANCIAL SERVICE CORPORATION
Office #1: 188 Inverness Drive West Suite 100, Centennial, CO 80112RIA
BD
CRD#: 104343
Centennial, CO
Past
January 30, 2014 - December 31, 2016
CONCORDE ASSET MANAGEMENT, LLC
RIA
CRD#: 140367
STILLWATER, MN
Past
January 30, 2014 - December 31, 2016
CONCORDE INVESTMENT SERVICES, LLC
BD
CRD#: 151604
Stillwater, MN
Past
November 26, 2013 - January 29, 2014
INDEPENDENT FINANCIAL GROUP, LLC
BD
CRD#: 7717
FOREST LAKE, MN
Past
November 21, 2013 - January 29, 2014
INDEPENDENT FINANCIAL GROUP, LLC
RIA
CRD#: 7717
FOREST LAKE, MN
Past
May 30, 2012 - August 17, 2012
OAK STREET SECURITIES, INC.
RIA
CRD#: 133591
OSCEOLA, WI
Past
April 25, 2005 - August 17, 2012
OAK STREET SECURITIES, INC.
BD
CRD#: 133591
OSCEOLA, WI
Past
October 1, 2002 - November 24, 2004
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
PHOENIX, AZ
Past
December 18, 2000 - October 1, 2002
AMERICAN GENERAL EQUITY SERVICES CORPORATION
BD
CRD#: 5435
HOUSTON, TX
Past
November 7, 1988 - February 21, 1995
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
Past
January 26, 1984 - November 12, 1988
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Arizona(11/16/2017)
RR
Minnesota(2/10/2017)
RR
Texas(9/20/2021)
RR
Wisconsin(12/17/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 2/26/1992
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
CF
COLORADO FINANCIAL SERVICE CORPORATION
COLORADO FINANCIAL SERVICE CORPORATION | TURNING POINT RETIREMENT ASSOCIATES | GIA FINANCIAL GROUP, L.L.C.
CRD#: 104343 / SEC#: 801-76716, 8-52817
RIA
Registered Investment Advisory firm - SEC (8/8/2013 Terminated)Alaska
Registered Investment Advisory firm - SEC (5/7/2024 Approved)Arizona
Registered Investment Advisory firm - SEC (9/25/2017 Approved)California
Registered Investment Advisory firm - SEC (7/30/2013 Approved)Colorado
Registered Investment Advisory firm - SEC (7/24/2013 Approved)Florida
Registered Investment Advisory firm - SEC (4/23/2013 Approved)Louisiana
Registered Investment Advisory firm - SEC (8/14/2023 Approved)Maryland
Registered Investment Advisory firm - SEC (3/24/2022 Terminated)Montana
Registered Investment Advisory firm - SEC (2/3/2017 Approved)New Jersey
Registered Investment Advisory firm - SEC (7/29/2013 Approved)North Carolina
Registered Investment Advisory firm - SEC (8/4/2023 Approved)Ohio
Registered Investment Advisory firm - SEC (5/19/2017 Approved)Oregon
Registered Investment Advisory firm - SEC (6/4/2021 Approved)South Carolina
Registered Investment Advisory firm - SEC (1/3/2018 Approved)Texas
Registered Investment Advisory firm - SEC (7/14/2023 Approved)Washington
Registered Investment Advisory firm - SEC (10/12/2017 Approved)Wyoming
Registered Investment Advisory firm - SEC (1/31/2025 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
188 Inverness Drive West Ste 100, Centennial, CO 80112
Mailing Address
188 Inverness Drive West Suite 100, Centennial, CO 80112
Phone number
(303) 962-7267
Established
Colorado since 06/13/2000
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
38
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COLORADO NATIONAL CORPORATION | OWNER | |
| FELDMAN, KEITH MITCHELL | MUNICIPAL SECURITIES PRINCIPAL | 1308772 |
| FELDMAN, KEITH MITCHELL | OPTIONS PRINCIPAL | 1308772 |
| FELDMAN, KEITH MITCHELL | GENERAL SECURITIES PRINCIPAL, HEAD OF OPERATIONS | 1308772 |
| HEBERT, CHESTER JOSEPH | FINOP | 1678446 |
| HEBERT, CHESTER JOSEPH | CHIEF COMPLIANCE OFFICER | 1678446 |
| HEBERT, CHESTER JOSEPH | CHAIRMAN, CHIEF EXECUTIVE OFFICER, PRESIDENT | 1678446 |
| THON, JAMESON OBRIEN | GENERAL SECURITIES PRINCIPAL, PRESIDENT | 7015002 |
| WOODWORTH, ADAM JAMES | COMPLIANCE OFFICER | 6952982 |
Regulatory assets under management
| Total Number of Accounts | 209 |
| AUM (Assets Under Management) | $ 68,471,136 |
Disclosures
| Regulatory Event | 3 |
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.
