Thomas C. Blake
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Thomas Chapman Blake, AIF®, who also goes by Tom Blake, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1988. Thomas had worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2023 - July 15, 2025
STANCORP EQUITIES, INC.
October 9, 2008 - December 31, 2022
SECURIAN FINANCIAL SERVICES, INC.
April 15, 2008 - September 2, 2008
THE O.N. EQUITY SALES COMPANY
May 26, 1999 - January 23, 2008
ONEAMERICA SECURITIES, INC.
May 10, 1999 - December 17, 2001
AMERICAN UNITED LIFE INSURANCE COMPANY
August 6, 1997 - November 13, 1998
TRANSAMERICA SECURITIES SALES CORPORATION
November 8, 1990 - August 2, 1996
1717 CAPITAL MANAGEMENT COMPANY
February 23, 1988 - August 21, 1990
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
STANCORP EQUITIES, INC.
CRD#: 19517 / SEC#: , 8-37563
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STANCORP FINANCIAL GROUP, INC. | OWNER OF STANCORP EQUITIES, INC. | |
| BURLIE, JASON MATTHEW | PRESIDENT | 4072452 |
| HUANG, JAMES PEI-YUEN | SECRETARY | 4020305 |
| LIM, CHARLES | CHIEF COMPLIANCE OFFICER | 5039063 |
| MARTIN, SHANNON MICHELLE | 2ND VICE PRESIDENT AND ASSISTANT CONTROLLER | 7616238 |
| PAGLIARULO, DAVID C | TREASURER, FINOP | 6883045 |
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.
