TF
Thomas A. Freeman
PARK AVENUE SECURITIES LLC
Las Vegas, NV
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CRD#: 5588628
TF
Professional summary
Thomas Albert Freeman JR., who also goes by Thomas A Freeman Jr, Thomas A Freeman Jr., Thomas A Freeman, Thomas Albert Freeman, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Las Vegas, Nevada.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Thomas has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas A Freeman Jr | Thomas A Freeman Jr. | Thomas A Freeman | Thomas Albert Freeman
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. OUTSIDE BUSINESS INSURANCE SALES-SELL OUTSIDE INSURANCE PRODUCTS PER CLIENT NEED, Start: 10/15/2008, Address: 4675 MACARTHUR CT NEWPORT BEACH, CA 92660, 20 bus hrs per month, Investment related, >10% annual compensation, 2. Take the Mulligan Business Coach-Independent Contractor working with companies to help ensure setup appropriately, run efficiently and to aid in their succession planning., Start: 09/30/2022, Address: 10478 Precliffs Ct, Las Vegas NV, 89129, 10 total hours per month; 10 during securities trading hours, Not investment related, Less than 10% annual compensation, 3) Speaking, writing-writing my book and speaking on my life story as it pertains to my adoption, Start: 01/01/2022, Address: n/a, 5 total hours per month, 0 during securities trading hours, Not investment related, No annual compensation, 4) TA Freeman Inc.- Owner, Start: 05/01/2022, Address: 10478 Precliffs Ct Las Vegas NV 89129, 0 total hours per month, Not investment related, No annual compensation, 5) Board Position for Foster Kinship-advisory board, Start: 08/31/2024, Address: 8691 W Sahara Ave, Las Vegas, NV 89117, 2 total hours per month; 0 during securities trading hours, Not investment related, No annual compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Albert Freeman JR.'s CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Albert Freeman JR.'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
March 11, 2020 - Present
PARK AVENUE SECURITIES LLC
RIA
BD
CRD#: 46173
Las Vegas, NV
Current
December 1, 2015 - Present
PARK AVENUE SECURITIES LLC
Office #1: 2875 Michelle Drive Suite 110, Irvine, CA 92606RIA
BD
CRD#: 46173
IRVINE, CA
Past
December 22, 2008 - October 8, 2015
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
NEWPORT BEACH, CA
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
Arizona(1/31/2025)
RR
California(12/1/2015)
IAR
California(3/11/2020)
RR
Florida(4/8/2025)
RR
Kentucky(1/8/2025)
IAR
Kentucky(9/15/2025)
RR
Maryland(2/24/2022)
IAR
Maryland(2/24/2022)
RR
Nevada(7/29/2020)
IAR
Nevada(8/11/2020)
RR
North Carolina(2/24/2022)
IAR
North Carolina(2/24/2022)
RR
Ohio(4/24/2025)
RR
Pennsylvania(9/25/2025)
RR
Tennessee(4/16/2024)
RR
Texas(1/31/2025)
RR
Virginia(8/25/2025)
IAR
Virginia(8/25/2025)
Exams
State Security Law Exam
State Security Law 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.
