Thomas Fink
Thomas Fink is a ChFC-designated registered investment advisor at Principal Securities, INC., based in Lake Oswego, OR, with 43 years of industry experience. Thomas is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 51,941 clients with $17B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $150K | 1.75% |
| $150K - $250K | 1.75% |
| $250K - $500K | 1.75% |
| $500K - $1000K | 1.20% |
| $1M+ | 1.10% |
Fees are negotiable and collected quarterly in arrears. Schedule reflects the SEI Managed Account Solutions program maximum fees. Other programs utilize promoter fees ranging from 0.07% to 1.50% or asset-based fees up to 1.95%.
Fee Estimator
Location
5885 Meadows Rd, Ste 800, Lake Oswego, OR, 97035
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Thomas is a 10% owner of Chinook RV Storage and a board member for St. Mary's Academy and Janus Youth Programs. He also services group annuities and works as an outside insurance broker, selling LTC, DI, fixed annuities, life, and health insurance, and is the sole owner of Magnacorp TF, Inc.
Employment History
Current Registrations
Principal Securities, INC.
Principal Securities, INC.Broker
Previous Registrations
Carillon Investments, INC.Broker
Sentra Securities CorporationBroker
Ascend Financial Services, INC.Broker
Sentra Securities CorporationBroker
Mutual Service CorporationBroker
Sentra Securities CorporationBroker
Godwins Securities, INC.Broker
Fbh Equities of Oregon, INC.Broker
Titan Capital CorporationBroker
Aetna Life Insurance and Annuity CompanyBroker
State Registrations8 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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