TH
Timothy N. Hunt
PARK AVENUE SECURITIES LLC
Charlotte, NC 28210
Some features on this profile are disabled
CRD#: 2872168
TH
Professional summary
Timothy Nelson Hunt is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Charlotte, North Carolina.
Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Timothy has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) Name: Hunt Financial Group Inv rel: Y Addr: 4810 Ashley Park Ln, Sute 1419, Charlotte, NC 28210 Nature: Consulting Position: Partner Start: 11/15/2017 No hrs/mo: 10 No hrs/mo dur trading: 10 Duties: Prepare peer compensation pertaining to banks (2) Name: Timothy Hunt Inv rel: Y Addr: 4810 Ashley Park Ln, Sute 1419, Charlotte, NC 28210 Nature: Outside insurance - life Position: Agent Start: 01/01/2009 No hrs/mo: 160 No hrs/mo dur trading: 160 Duties: Sell other insurance carrier's Bank Owned Life Insurance products to banks.
CRS (Client Relationship Summary) - RIA
Click below to view Timothy Nelson Hunt's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Timothy Nelson Hunt'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
December 12, 2024 - Present
PARK AVENUE SECURITIES LLC
Office #1: 6115 Park South Drive Suite 200, Charlotte, NC 28210Office #2: 4810 Ashley Park Lane Suite 1419, Charlotte, NC 28210RIA
BD
CRD#: 46173
Charlotte, NC
Current
December 12, 2024 - Present
PARK AVENUE SECURITIES LLC
Office #1: 6115 Park South Drive Suite 200, Charlotte, NC 28210Office #2: 4810 Ashley Park Lane Suite 1419, Charlotte, NC 28210RIA
BD
CRD#: 46173
Charlotte, NC
Past
July 20, 2022 - December 10, 2024
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
Charlotte, NC
Past
July 1, 2022 - December 10, 2024
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Charlotte, NC
Past
May 8, 2014 - July 15, 2022
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
CHARLOTTE, NC
Past
December 3, 2013 - July 15, 2022
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
NEW YORK, NY
Past
July 11, 2008 - October 16, 2013
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
CHARLOTTE, NC
Past
May 14, 2008 - October 16, 2013
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
CHARLOTTE, NC
Past
April 12, 2007 - March 11, 2008
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
CHARLOTTE, NC
Past
April 10, 2007 - March 11, 2008
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
CHARLOTTE, NC
Past
April 1, 2004 - April 9, 2007
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
CHARLOTTE, NC
Past
December 31, 2000 - April 1, 2004
C.P. ADVISORY SERVICES
RIA
CRD#: 118052
CHARLOTTE, NC
Past
May 3, 1999 - April 9, 2007
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
CHARLOTTE, NC
Past
May 23, 1997 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, 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".
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
North Carolina(12/12/2024)
IAR
North Carolina(12/12/2024)
RR
Tennessee(12/12/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO 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.
