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TO

Thomas L. Oakes

AMERICAN NORTHWEST ADVISORY SERVICES L.L.C.
FEDERAL WAY, WA 98003
Some features on this profile are disabled
CRD#: 2469647
TO

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.
The advisor shows no other business activity.

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 98003Office #2: 4440 Pga Blvd. Suite 600, Palm Beach Gardens, FL 33410
RIA
CRD#: 110117
FEDERAL WAY, WA
Past

January 22, 1996 - October 1, 1997

PACIFIC WEST SECURITIES, INC.

BD
CRD#: 6390
RENTON, WA
Past

July 21, 1994 - January 31, 1996

KMS FINANCIAL SERVICES, INC.

BD
CRD#: 3866
SEATTLE, WA
Past

March 29, 1994 - July 27, 1994

NYLIFE SECURITIES LLC

BD
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".
AN
AMERICAN NORTHWEST ADVISORY SERVICES L.L.C.
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
Florida
(1/27/2026)
IAR
Nevada
(3/12/2024)
IAR
New Jersey
(3/15/2024)
IAR
Oregon
(3/12/2024)
IAR
Washington
(3/15/1996)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/24/1994
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/28/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/8/1994
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/28/1994
Investment Company Products/Variable Contracts Representative Examination

Current Firm

AN
AMERICAN NORTHWEST ADVISORY SERVICES L.L.C.
AMERICAN NORTHWEST ADVISORY SERVICES L.L.C.

CRD#: 110117 / SEC#: 801-58004

RIA
Registered Investment Advisory firm - (9/29/2000 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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
5

SEC notice filing (7 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts83
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.

Company Information

AMERICAN NORTHWEST ADVISORY SERVICES L.L.C.

CRD#: 110117Federal Way, WA 98003

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