Patrick S. Thebus
Professional summary
Patrick Shawn Thebus, who also goes by Patrick S Thebus, Patrick Sean Thebus, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Escondido, California.
Patrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Patrick has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Patrick Shawn Thebus's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Patrick Shawn Thebus's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 26, 2013 - Present
PARK AVENUE SECURITIES LLC
Office #1: 527 E. 5th Ave, Escondido, CA 92025Office #2: 5280 Carroll Canyon Road Suite 300, San Diego, CA 92121March 12, 2013 - Present
PARK AVENUE SECURITIES LLC
Office #1: 5280 Carroll Canyon Road Suite 300, San Diego, CA 92121December 20, 2011 - March 7, 2013
P.J. ROBB VARIABLE, LLC
February 24, 2011 - September 23, 2011
KESTRA INVESTMENT SERVICES, LLC
January 9, 2009 - February 11, 2011
THE LEADERS GROUP, INC.
December 3, 2007 - July 28, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 6, 2006 - July 28, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 4, 2003 - May 25, 2006
THE LEADERS GROUP, INC.
January 10, 2000 - February 7, 2003
EQUITABLE DISTRIBUTORS, LLC
March 8, 1991 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
March 8, 1991 - April 4, 2000
EQUITABLE ADVISORS, LLC
November 19, 1989 - March 25, 1991
OSAIC WEALTH, INC.
February 10, 1989 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
August 12, 1987 - February 9, 1989
AUGUSTA SECURITIES, INC.
May 6, 1986 - January 12, 1987
VICORP SECURITIES, INC.
May 25, 1984 - June 27, 1984
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
PARK AVENUE SECURITIES LLC
CRD#: 46173 / SEC#: 801-58108, 8-51324
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/27/2014)
(3/12/2013)
(3/26/2013)
(1/27/2014)
(1/27/2014)
(10/12/2015)
(8/4/2019)
(1/27/2014)
(4/14/2014)
(1/27/2014)
(1/27/2014)
(1/27/2014)
Exams
FINRA
Current Firm
PARK AVENUE SECURITIES LLC
CRD#: 46173 / SEC#: 801-58108, 8-51324
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA | OWNER | |
| BOGGS, ALLEN WARREN | HEAD OF PRODUCT & SUPERVISION | 4751363 |
| CASWELL, MARIANNE GRACE | PRESIDENT AND ELECTED MEMBER | 6424651 |
| DAVARASHVILI, KATE | FINOP/PRINCIPAL FINANCIAL OFFICER. | 5642325 |
| DESROCHERS, CARL | ELECTED MEMBER | 7807194 |
| GALLO, JOSEPH MICHAEL | CHIEF COMPLIANCE OFFICER | 3108044 |
| HERGAN, JOSHUA NEIL | GENERAL COUNSEL | 4572643 |
| LESINA, LEYLA ADA | ELECTED MEMBER | 3004323 |
| MAHER, CARLY PRITCHARD | HEAD OF WEALTH MANAGEMENT STRATEGY AND BUSINESS OPERATIONS | 4003223 |
| PERRY, MICHAEL ANDREW | ELECTED MEMBER | 2688179 |
| RYNIKER, MICHAEL JOHN | PRINCIPAL OPERATIONS OFFICER | 2474604 |
Regulatory assets under management
| Total Number of Accounts | 71,074 |
| AUM (Assets Under Management) | $ 14,998,852,974 |
Disclosures
| Regulatory Event | 20 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 01/22/2025 | ||
| 11/15/2023 |
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.
