TG
Thomas C. Grant
PARK AVENUE SECURITIES LLC
OLD LYME, CT
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CRD#: 227591
TG
Professional summary
Thomas C Grant, ChFC®, CLU®, who also goes by Thomas Clifford Grant, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Old Lyme, Connecticut.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1974. Thomas has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, SIE, PC and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas Clifford Grant
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.
1. Seminar for CT Society of CPAs-Speak when requested by the CT Society of CPAs (CTCPA) on topics that range from Advanced Planning, Life Insurance, Retirement Planning, Disability, Long Term Care, Group Benefits and Investments,. Start: 12/9/2011, Address: 716 Broad ST, Rocky Hill, CT 06067, 2 bus hrs per month, Not investment related, 2. Trustee acceptance-Co-trustee for the spouse of a Guardian insurance client, Start: 1/15/2014, Address: 484 EAST COLUMBIA PO BOX 753 TELLURIDE, CO 81435,. 1 non bus hr per month, Investment related., 3. Treasurer of the Planned Giving Group of Connecticut-custodian of all funds, maintain appropriate records, pay all bills and file an Annual report,. Start: 01/01/2018, Address: 95 West Street, Rocky Hill, CT 06067, 10 total hours per month, 5 during securities trading hours, Not investment related, 4. James Grant Jr. Revocable Trust-co-trustee of my deceased father's trust created 11/8/2008, Start: 11/08/2008, Address: 9 Lake Dr Old Lyme, CT 06371, Hrs per month - Tot/Bus: 5/2, Investment related, 5) MW Group Benefits-group insurance through MW Group Benefits, Start: 06/01/2004, Address: 197 Scott Swamp Rd Farmington, CT 06032, 5 total hours per month; 5 during securities trading hours, Investment related, Less than 10% annual compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Thomas C Grant's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas C Grant'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®
Experience
Current
May 9, 2005 - Present
PARK AVENUE SECURITIES LLC
Office #2: 197 Scott Swamp Rd., Farmington, CT 06032RIA
BD
CRD#: 46173
OLD LYME, CT
Current
December 17, 2004 - Present
PARK AVENUE SECURITIES LLC
Office #1: 197 Scott Swamp Rd., Farmington, CT 06032RIA
BD
CRD#: 46173
Farmington, CT
Past
April 26, 2002 - February 19, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
HARTFORD, CT
Past
July 31, 1979 - February 19, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
October 3, 1974 - February 18, 1979
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
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".
PA
PARK AVENUE SECURITIES LLC
PARK AVENUE SECURITIES LLC
CRD#: 46173 / SEC#: 801-58108, 8-51324
RIA
Registered Investment Advisory firm - SEC (11/13/2000 Approved)District of Columbia
Registered Investment Advisory firm - SEC (1/2/2002 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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
California(10/18/2006)
IAR
California(1/5/2016)
RR
Colorado(10/14/2022)
IAR
Colorado(10/14/2022)
RR
Connecticut(1/3/2004)
IAR
Connecticut(5/9/2005)
RR
Florida(4/13/2011)
IAR
Florida(11/14/2016)
RR
Idaho(9/4/2018)
RR
Illinois(4/10/2023)
IAR
Illinois(4/10/2023)
RR
Iowa(11/3/2025)
RR
Kansas(1/13/2025)
IAR
Kansas(1/13/2025)
RR
Louisiana(3/6/2023)
IAR
Louisiana(3/6/2023)
RR
Maine(1/7/2025)
IAR
Maine(1/7/2025)
RR
Massachusetts(1/28/2011)
IAR
Massachusetts(2/1/2011)
RR
Michigan(1/21/2009)
IAR
Michigan(1/4/2010)
RR
Missouri(12/17/2015)
IAR
Missouri(12/17/2015)
RR
New Hampshire(2/8/2023)
IAR
New Hampshire(2/8/2023)
RR
New Jersey(1/26/2006)
IAR
New Jersey(10/30/2025)
RR
New Mexico(11/2/2016)
IAR
New Mexico(11/4/2016)
RR
New York(12/19/2005)
IAR
New York(4/16/2021)
RR
North Carolina(1/9/2024)
IAR
North Carolina(1/10/2024)
RR
Pennsylvania(5/16/2018)
IAR
Pennsylvania(5/5/2020)
RR
Rhode Island(10/10/2006)
IAR
Rhode Island(2/9/2007)
RR
South Carolina(8/30/2018)
RR
Texas(7/10/2019)
IAR
Texas(7/10/2019)
RR
Virginia(1/4/2024)
IAR
Virginia(1/4/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
PC
Date: 2/27/1978
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 1
Date: 9/25/1974
Registered Representative ExaminationSRO Registrations
RR
FINRA
Current Firm
PA
PARK AVENUE SECURITIES LLC
PARK AVENUE SECURITIES LLC
CRD#: 46173 / SEC#: 801-58108, 8-51324
RIA
Registered Investment Advisory firm - SEC (11/13/2000 Approved)District of Columbia
Registered Investment Advisory firm - SEC (1/2/2002 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
10 Hudson Yards, New York, NY 10001
Mailing Address
10 Hudson Yards, New York, NY 10001
Phone number
+1 (888) 600-4667
Established
Delaware since 08/20/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,984
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.
