TS
Thomas J. Sponsel
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CRD#: 2974580
TS
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Thomas Joseph Sponsel was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1998. Thomas had worked at 2 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
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. J F Sponsel Property Management, LLC-Property management Services to Sponsel Property Group, LLCs, Start: 01/01/2014, Address: 10303 Fallen Oak Drive Indianapolis, In 46239, 2 non bus hrs per month, Investment related, 2. Archdiocese Of Indianapolis-Finance Committee -Audit Committee, Start: 03/04/2011, Address: 1400 N Meridian Street Indianapolis, IN 46204, 1 non bus hr per month, Not investment related, 3. Commissioning Agents, Inc-Board Member, Start: 01/01/2007, Address; 2601 Fortune Circle East Suite 301B; Indianapolis, IN 46241, Hrs per month - Tot/Bus: 6/2, Not investment related, 4. John R & Michele Cunningham Irrevocable Trust, Start: 01/01/1993, Address: 251 N Illinois St, Suite 450, Indianapolis, IN 46204, 0 hrs per month, Investment related, 5. Perry Building Corporation of 1996-President of a Building Corporation for Perry Township Schools,. Start: 01/01/1996, Address: 6548 S Orinoco Indianapolis, IN 46227, 0 hrs per month, Investment related, 6. Perry Building Corporation of 2003-Entity owns School Buildings in Perry Township and leases certain school buildings to the school district. Entity required by Indiana legislation,. Start: 01/01/2003, Address: 6548 S Orinoco Indianapolis, IN 46227, 0 hrs per month, Investment related, 7. Samuel B Reisman Trust FBO Grandchildren-Trustee of Trust set up for the Benefit of his 5 grandchildren, Start: 01/01/2006, Address: 251 N Illinois St, Suite 459, Indianapolis, IN 46204, 1 non bus hr per month, Not investment related, 8. Sponsel Capital Mangement, LLC-Investment partnership, Start: 01/01/2002, Address: 251 N Illinois St, Suite 450, Indianapolis, IN 46204, 0 hrs per month, Investment related, 9. Sponsel CPA GROUP,LLC-Partner in a Full Service CPA Firm, Start: 09/02/2009, Address; 251 N Illinois St, Suite 450, Indianapolis, IN 46204, Hrs per month - Tot/Bus: 300/140, Not investment related, >10% annual compensation, 10. Sponsel Property Group, LLC, Start: 01/01/2014, Address: 251 N Illinois St, Suite 450; Indianapolis, IN 46204, 5 non bus hrs per month, Investment related, 11. Sponsel Realty Partners, LLC, Start: 01/01/1986, Address: 251 N Illinois St, Suite 450, Indianapolis, IN, 0 hrs per month, Investment related, 12) Sponsel Development Partners, LLC-managing Member- rehabs foreclosed properties and then rents these residences,. Start: 06/14/2014, Address: 251 N Illinois St, Suite 450; Indianapolis, IN 46204 10 total hours per month, 0 during securities trading hours, Investment related, No annual compensation,
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
October 5, 2012 - May 31, 2023
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
INDIANAPOLIS, IN
Past
May 14, 2012 - May 31, 2023
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
NEW YORK, NY
Past
December 21, 1998 - May 4, 2012
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
INDIANAPOLIS, IN
Past
January 20, 1998 - May 4, 2012
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
INDIANAPOLIS, IN
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
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.
