Thomas L. Oakes

AMERICAN NORTHWEST ADVISORY SERVICES L.L.C.

FEDERAL WAY, WA 98003

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CRD#: 2469647

Professional summary

Thomas L Oakes, CFP® is a registered financial advisor currently at AMERICAN NORTHWEST ADVISORY SERVICES L.L.C. located in Federal Way, Washington.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Thomas has worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1) AMERICAN NORTHWEST RETIREMENT PLAN SERVICESS LLC 2) THIRD PARTY PLNA ADMINISTRATION - INVESTMENT RELATED BUSINESS 3) 1010 S. 336TH ST., STE. 215, FEDERAL WAY, WA 98003 4) PROVIDES THIRD PARTY ADMINISTRATION TO RETIREMENT PLANS 5) MEMBER/MANAGER 6) 10/2002 7) 8 HOURS PER MONTH 8) TRADING HOURS - NO INVOLVEMENT WITH BUSINESS 9) OVERSIGHT & OVERALL BUSINESS PLANNING

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas L Oakes's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Experience

Current

March 15, 1996 - Present

AMERICAN NORTHWEST ADVISORY SERVICES L.L.C.

Office #1: 200 S. 333rd St., Ste. 222, Federal Way, WA 98003

RIA

CRD#: 110117

FEDERAL WAY, WA

Past

January 22, 1996 - October 1, 1997

PACIFIC WEST SECURITIES, INC.

CRD#: 6390

RENTON, WA

Past

July 21, 1994 - January 31, 1996

KMS FINANCIAL SERVICES, INC.

CRD#: 3866

SEATTLE, WA

Past

March 29, 1994 - July 27, 1994

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

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".

AMERICAN NORTHWEST ADVISORY SERVICES L.L.C.

CRD#: 110117 / SEC#: 801-58004

RIA

Registered Investment Advisory firm - (9/29/2000 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Arizona
(6/7/2024)

IAR

California
(3/12/2024)

IAR

Nevada
(3/12/2024)

IAR

New Jersey
(3/15/2024)

IAR

Oregon
(3/12/2024)

IAR

Washington
(3/15/1996)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/24/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/28/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/8/1994

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/28/1994

Investment Company Products/Variable Contracts Representative Examination

Current Firm

AMERICAN NORTHWEST ADVISORY SERVICES L.L.C.

CRD#: 110117 / SEC#: 801-58004

RIA

Registered Investment Advisory firm - (9/29/2000 Approved)

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Contact information

Main Address

1010 S. 336th St. Suite 215, Federal Way, WA 98003

Mailing Address

P.o. Box 24831, Federal Way, WA 98093

Phone number

(253) 815-6564

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADVISORY BROCHURE (3/31/2025)

PENSION CONSULTING (3/31/2025)

Regulatory assets under management

Total Number of Accounts	83
AUM (Assets Under Management)	$ 34,291,501

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Thomas L. Oakes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas L Oakes's CRS (Customer Relationship Summary).

Certified licenses

Experience

PACIFIC WEST SECURITIES, INC.

KMS FINANCIAL SERVICES, INC.

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

AMERICAN NORTHWEST ADVISORY SERVICES L.L.C.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/24/1994

Series 63

Date: 3/28/1994

Series 7

Date: 12/8/1994

Series 6

Date: 3/28/1994

Current Firm

AMERICAN NORTHWEST ADVISORY SERVICES L.L.C.

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AMERICAN NORTHWEST ADVISORY SERVICES L.L.C.

TRUST BUT VERIFY

Contact information

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