Thomas Balistreri, financial advisor San Francisco CA
71 score

Thomas Balistreri

CRD Number: 1349647
Current Firm: Principal Securities, Inc.

Thomas Balistreri (CRD# 1349647) is an Investment Advisor Representative working at Principal Securities, Inc. in San Francisco, CA and has over 22 years of experience in the finance industry.

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Company Name Location Dates Years
Principal Life Insurance Company San Francisco, CA Apr 2015 - Current 1
Princor Financial Services Corporation San Francisco, CA Apr 2015 - Current 1
Boom Planning San Francisco, CA Nov 2014 - Apr 2015 < 1
20/20 Financial Advisers, LLC San Francisco, CA Nov 2014 - Apr 2015 < 1
Ameritas Investment Corp Lincoln, NE Aug 2011 - Apr 2015 3
Cornerstone Financial Services LLC Renton, WA Jul 2011 - Apr 2015 3
Ameritas Life Insurance Corp Lincoln, NE Apr 2011 - Apr 2015 4
Thomas Anthony Insurance Services San Rafael, CA Nov 2008 - Apr 2015 6
Union Central Life Insurance Cincinnati, OH Apr 2011 - Dec 2011 < 1
Acacia Life Insurance Bethesda, MD Apr 2011 - Dec 2011 < 1
R. W. Towt & Associates San Diego, CA Mar 2009 - Oct 2010 1
New York Life Ins Co San Francisco, CA Apr 1995 - Nov 2008 13
Nylife Securities Inc. San Francisco, CA Apr 1995 - Nov 2008 13
Blue Cabin Corp. Milwaukee, WI Sep 1988 - Nov 2008 20
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination May 1994
S65 NASAA Investment Advisors Law Examination Sep 2014
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Thomas A. Balistreri
Phone Number: 888-774-6267
Firm Website: http://www.principal.com
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    1,622
    MILLIONS
  • Total Number of Accounts
    15,486
    ACCOUNTS
  • Average Account Value
    $104,766
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
71

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