John T. Kent
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.
John Thomas Kent III, who also goes by John Thomas Kent, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2000. John had worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 13, 2018 - April 2, 2018
PARK AVENUE SECURITIES LLC
February 13, 2013 - December 31, 2015
CAPE INVESTMENT ADVISORY, INC.
February 13, 2013 - December 31, 2016
CAPE SECURITIES INC.
December 24, 2009 - December 31, 2011
ALLIED BEACON PARTNERS, INC.
November 17, 2008 - December 31, 2011
CL WEALTH MANAGEMENT LLC
November 13, 2008 - December 23, 2009
COMMUNITY BANKERS SECURITIES, LLC
August 23, 2007 - September 30, 2008
MORNINGSTAR INVESTMENT SERVICES LLC
August 23, 2007 - September 30, 2008
MORNINGSTAR INVESTMENT SERVICES LLC
June 21, 2006 - August 31, 2007
GROVE POINT INVESTMENTS, LLC
November 24, 2005 - August 31, 2007
GROVE POINT INVESTMENTS, LLC
December 6, 2000 - July 29, 2005
PRINCIPAL FUNDS DISTRIBUTOR, INC.
June 7, 2000 - September 5, 2000
INTERNATIONAL MONEY MANAGEMENT GROUP, 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
Exams
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.
