TD
Thomas L. Davenport
PREISZ FINANCIAL
Portland, OR 97239
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CRD#: 5075210
TD
Professional summary
Thomas Leland Davenport, AIF®, CFA, who also goes by Tom Davenport, is a registered financial advisor currently at PREISZ FINANCIAL located in Portland, Oregon and LPL FINANCIAL LLC located in Portland, Oregon.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Thomas has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tom Davenport
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) 09/11/2014: Preisz Associates, Inc. - DBA for LPL Business (entity for LPL business) - Investment Related - 4525 SW Condor Ave. Portland OR, 97239 - Start 10/15/2010 - 40 Hr/Mo; 40 Hour(s) During Securities Trading
(2) 06/25/2015: PREISZ Financial - DBA for LPL Business (entity for LPL business) - Investment Related - 4525 SW Condor Ave., Portland, OR 97239 - Start 07/01/2015 - 25 Hr/Mo; 25 Hour(s) During Securities Trading
(3) 07/21/2015: Preisz Associates, Inc. - Registered Investment Advisor DBA - DBA: (Hybrid) PREISZ Financial - Investment Related - 4525 SW Condor Ave., Portland, OR 97239 - Start 06/12/2015 - 15 Hr/Mo; 15 Hour(s) During Securities Trading
(4) 11/09/2016: Preisz Financial - Non-Variable Insurance - Investment Related - 4525 SW Condor Ave. Portland OR, 97239 - Start 01/01/2016 - 0 Hr/Mo - Insurance Types: life, Health, Fixed Annuities
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Leland Davenport'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®
Experience
Current
January 25, 2013 - Present
PREISZ FINANCIAL
Office #1: 4525 Sw Condor Ave, Portland, OR 97239RIA
CRD#: 144469
Portland, OR
Current
September 8, 2009 - Present
LPL FINANCIAL LLC
Office #1: 4525 Sw Condor Ave, Portland, OR 97239-4061RIA
BD
CRD#: 6413
Portland, OR
Past
November 1, 2007 - September 8, 2009
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
PORTLAND, OR
Past
November 13, 2006 - August 16, 2007
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
Past
January 9, 2006 - November 13, 2006
WADDELL & REED
BD
CRD#: 866
PORTLAND, OR
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".
PF
PREISZ FINANCIAL
PREISZ ASSOCIATES, INC. | PREISZ FINANCIAL
CRD#: 144469 / SEC#: 801-115031
RIA
Registered Investment Advisory firm - (4/18/2019 Approved)Oregon
Registered Investment Advisory firm - (1/29/2020 Terminated)Texas
Registered Investment Advisory firm - (1/29/2020 Terminated)Washington
Registered Investment Advisory firm - (2/29/2020 Terminated)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
Oregon(9/8/2009)
IAR
Oregon(1/25/2013)
IAR
Washington(2/25/2013)
RR
Washington(2/19/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PF
PREISZ FINANCIAL
PREISZ ASSOCIATES, INC. | PREISZ FINANCIAL
CRD#: 144469 / SEC#: 801-115031
RIA
Registered Investment Advisory firm - (4/18/2019 Approved)Oregon
Registered Investment Advisory firm - (1/29/2020 Terminated)Texas
Registered Investment Advisory firm - (1/29/2020 Terminated)Washington
Registered Investment Advisory firm - (2/29/2020 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4525 Sw Condor Ave, Portland, OR 97239
Mailing Address
Phone number
(503) 224-1600
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 485 |
| AUM (Assets Under Management) | $ 612,791,505 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
