TP
Thomas C. Paron
KESTRA ADVISORY SERVICES
Southbury, CT 06488
Some features on this profile are disabled
CRD#: 2112510
TP
Professional summary
Thomas C. Paron, who also goes by Thomas Paron, Tom Paron, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Southbury, Connecticut and KESTRA INVESTMENT SERVICES, LLC located in Southbury, Connecticut.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Thomas has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas Paron | Tom Paron
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.
Business Name: Olde Crabs Hockey Club Investment Related: No Address: 136 Sycamore Avenue Woodbury CT 06798 Nature of Business: Board Position (Board of Directors, Board of Trustees, etc.) Position, Title or Relationship: Treasurer Start Date: 3/1/2016 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Collect dues, pay bills, collect donations and pay charitiesBusiness Name: Buttonball Farm/Ventures Investment Related: No Address: 136 Sycamore Avenue Woodbury CT 06798 Nature of Business: Other Other/None of the Above private securities Position, Title or Relationship: Passive Investing Start Date: 1/1/2010 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Passive InvestingBusiness Name: Kestra Advisory Services LLC Investment Related: Yes Address: Two Pomperaug Office Park, Suite 205 & 301 Southbury CT 06488 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Managing director Start Date: 8/1/2015 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Managing the business Kestra owns.Business Name: Buttonball Farm Investment Related: Yes Address: 136 Sycamore Avenue Woodbury CT 06798 Nature of Business: Real Estate Position, Title or Relationship: Owner Start Date: 1/1/2000 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: LandlordBusiness Name: Compass Capital Management Investment Related: Yes Address: Two Pomperaug Office Park, Suite 205 & 301 Southbury CT 06488 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Investment Advisory services through an independent outside RIA; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Managing Director Start Date: 1/1/2006 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Running the businessBusiness Name: Buttonball Investment Related: No Address: 136 Sycamore Avenue Woodbury CT 06798 Nature of Business: Real Estate Position, Title or Relationship: Owner Start Date: 4/1/1996 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: NNN rent. Collect rent and pay operating expensesBusiness Name: The Carving Studio & Sculpture Center Investment Related: No Address: 636 Marble Street West Rutland VT 05777 Nature of Business: Board Position (Board of Directors, Board of Trustees, etc.) Position, Title or Relationship: Board member Start Date: 1/1/2020 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Board memberBusiness Name: Fiducius Investment Related: No Address: 151 West 4th Street, #300 Cincinnati OH 45202 Nature of Business: Board Position (Board of Directors, Board of Trustees, etc.); Other Other/None of the Above Student loan . Public Service Loan forgiveness program Position, Title or Relationship: board member Start Date: 9/2/2013 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: board meeting, provide guidanceBusiness Name: Hungry Free Vermont- Board of Directors Investment Related: No Address: 38 EAstwood Drive # 100 South Burlington VT 05403 Nature of Business: Board Position (Board of Directors, Board of Trustees, etc.) Position, Title or Relationship: board of director Start Date: 7/1/2021 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: 3 year term, serving with a group of 10 other board members
CRS (Client Relationship Summary) - RIA
Click below to view Thomas C. Paron'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®
NoneExperience
Current
January 9, 2017 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: Two Pomperaug Office Park Suite 301, Southbury, CT 06488RIA
CRD#: 283330
Southbury, CT
Current
January 9, 2017 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 2 Pomperaug Office Park Ste 301, Southbury, CT 06488BD
CRD#: 42046
Southbury, CT
Past
September 3, 2013 - May 26, 2017
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
SOUTHBURY, CT
Past
September 3, 2013 - May 26, 2017
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
SOUTHBURY, CT
Past
February 19, 2009 - September 3, 2013
WALNUT STREET SECURITIES, INC.
RIA
CRD#: 15840
SOUTHBURY, CT
Past
June 13, 2005 - March 29, 2018
COMPASS CAPITAL MANAGEMENT
RIA
CRD#: 118649
SOUTHBURY, CT
Past
August 1, 2003 - September 3, 2013
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
SOUTHBURY, CT
Past
January 10, 2003 - December 31, 2004
COMPASS CAPITAL MANAGEMENT
RIA
CRD#: 118649
SOUTHBURY, CT
Past
December 9, 1991 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
BD
CRD#: 8503
NEW YORK, NY
Past
January 1, 1991 - December 6, 1991
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)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
Alabama(2/13/2017)
RR
Alaska(2/1/2017)
RR
Arizona(1/9/2017)
RR
Arkansas(1/9/2017)
RR
California(1/9/2017)
RR
Colorado(1/9/2017)
RR
Connecticut(1/9/2017)
IAR
Connecticut(1/9/2017)
RR
Delaware(2/6/2017)
RR
District of Columbia(1/9/2017)
RR
Florida(1/9/2017)
RR
Georgia(1/9/2017)
RR
Hawaii(2/1/2017)
RR
Illinois(1/9/2017)
RR
Indiana(2/7/2017)
RR
Kansas(9/24/2024)
RR
Kentucky(1/9/2017)
RR
Louisiana(1/9/2017)
RR
Maine(1/9/2017)
RR
Maryland(1/9/2017)
RR
Massachusetts(1/9/2017)
RR
Michigan(1/9/2017)
RR
Minnesota(9/27/2017)
RR
Missouri(1/30/2017)
RR
Montana(1/9/2017)
RR
Nebraska(1/9/2017)
RR
Nevada(1/9/2017)
RR
New Hampshire(1/9/2017)
RR
New Jersey(1/9/2017)
RR
New Mexico(1/9/2017)
RR
New York(1/9/2017)
RR
North Carolina(1/9/2017)
RR
Ohio(1/9/2017)
RR
Oklahoma(1/9/2017)
RR
Pennsylvania(1/9/2017)
RR
Rhode Island(1/9/2017)
RR
South Carolina(1/9/2017)
RR
South Dakota(2/21/2017)
RR
Tennessee(2/2/2021)
RR
Texas(1/9/2017)
IAR
Texas(1/9/2017)
RR
Utah(1/9/2017)
RR
Vermont(2/6/2017)
RR
Virginia(1/9/2017)
RR
Washington(1/9/2017)
RR
West Virginia(1/9/2017)
RR
Wisconsin(1/9/2017)
RR
Wyoming(2/14/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
Company Information
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330Southbury, CT 06488TRUST BUT VERIFY
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