TB
Thomas S. Bolanowski
PRINCIPAL SECURITIES
MUNSTER, IN
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CRD#: 3159856
TB
Professional summary
Thomas Stephen Bolanowski is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Munster, Indiana.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Thomas has worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE 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.
**TBOMAC,LLC POSITION: Thomas Bolanowski NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 08/14/2023 ADDRESS: 10400 MARLOU DR, MUNSTER IN 46321, United States DESCRIPTION: TBOMAC,LLC owns land and builds homes for sale. I am owner and use my resources to fund these projects. **THE BOLANOWSKI FAMILY PINE LAKE LLC POSITION: The Bolanowski Family Pine Lake, LLC NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 11/15/2018 ADDRESS: 14 Glen Eagles, Schererville IN 46375, United States DESCRIPTION: I own our late parents' lake house together with my brother and 2 sisters. We own it for personnel use and do not rent it out. **INSURANCE POSITION: Thomas Bolanowski NATURE: null INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/30/2017 ADDRESS: 10400 MARLOU DR, MUNSTER IN 46321, United States DESCRIPTION: I receive trails from previous insurance product sales for National Life Insurance. **OUTSIDE INSURANCE SALES POSITION: Bolanowski Medicare NATURE: null INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 06/30/2018 ADDRESS: 10400 MARLOU DR, MUNSTER IN 46321, United States DESCRIPTION: I sell Medicare to family and friends. Also outside insurance sales through PPN/CRUMP for individual life insurance, disability insurance, LTC, fixed annuities through various carriers.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Stephen Bolanowski's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Stephen Bolanowski'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
June 27, 2025 - Present
PRINCIPAL SECURITIES, INC.
RIA
BD
CRD#: 1137
MUNSTER, IN
Current
June 26, 2025 - Present
PRINCIPAL SECURITIES, INC.
RIA
BD
CRD#: 1137
MUNSTER, IN
Past
July 22, 2022 - July 10, 2025
B. RILEY WEALTH MANAGEMENT
BD
CRD#: 2543
Chicago, IL
Past
October 4, 2021 - July 10, 2025
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
CHICAGO, IL
Past
October 4, 2021 - July 22, 2022
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
CHICAGO, IL
Past
February 16, 2018 - October 6, 2021
EQUITY SERVICES, INC.
RIA
CRD#: 265
CHICAGO, IL
Past
June 29, 2017 - October 6, 2021
EQUITY SERVICES, INC.
BD
CRD#: 265
CHICAGO, IL
Past
February 16, 2017 - June 5, 2017
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
FRANKFORT, IL
Past
February 24, 1999 - April 6, 2000
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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
California(6/26/2025)
RR
Florida(8/5/2025)
RR
Illinois(6/26/2025)
IAR
Illinois(6/27/2025)
RR
Indiana(6/26/2025)
RR
Maine(6/26/2025)
RR
Minnesota(6/26/2025)
RR
New Jersey(6/26/2025)
RR
New York(6/26/2025)
RR
Ohio(6/26/2025)
RR
Pennsylvania(6/26/2025)
RR
Wisconsin(6/26/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/18/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO 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.
