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Thomas B Pemberton

Park Avenue Securities LLC

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About Thomas B Pemberton

Thomas Pemberton is a financial professional with over 25 years of experience in the financial services industry. Thomas is currently registered with Park Avenue Securities LLC, and is also registered as an Investment Advisor Representative in multiple states. Thomas has a strong background in financial planning, portfolio management, and insurance products. He has experience working with a wide range of clients, including individuals, families, businesses, and institutions.

Firm Information

Thomas Pemberton is currently registered with Park Avenue Securities LLC. Park Avenue Securities LLC is a Limited Liability Company registered in the state of New York and has been operating since August 20, 1998. They provide financial planning and portfolio management services to individuals, high net worth individuals, corporations, pension and profit-sharing plans, charitable organizations, and captive insurance clients. The firm has a nationwide reach with registered offices in 53 states and the District of Columbia.
Park Avenue Securities LLC

10 HUDSON YARDS

NEW YORK, NY 10001

$11.88B

Assets Under Management

38,141

Total Clients

2,244

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Thomas Pemberton’s Registration & Firm History

NC

06/20/2019 - Present

Park Avenue Securities LLC (RALEIGH NC)

NY

06/04/1997 - 05/03/1999

GUARDIAN INVESTOR SERVICES CORPORATION (NEW YORK NY)

IA

06/13/1996 - 06/10/1997

PRINCOR FINANCIAL SERVICES CORPORATION (DES MOINES IA)

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Licenses & Designations

IA

Issued 12/29/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 06/12/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/06/2007

Series 7 - General Securities Representative Examination

BC

Issued 06/12/1996

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Thomas B Pemberton.
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