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Timothy J. Maurice

PARK AVENUE SECURITIES LLC
Southlake, TX 76092
Some features on this profile are disabled
CRD#: 5835227
TM

Professional summary

Timothy James Maurice, who also goes by Timothy James Marsh, Timothy J Maurice, Timothy James Maurice, is a registered financial professional currently at PARK AVENUE SECURITIES LLC located in Southlake, Texas.

Timothy is registered as a RR (Registered Representative) and started their career in finance in 2010. Timothy has worked at 7 firms and has passed the Series 63, Series 66, SIE, Series 6 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Timothy James Marsh | Timothy J Maurice | Timothy James Maurice

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Timothy James Maurice's CRS (Customer Relationship Summary).
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®
None

Experience

Current

January 10, 2026 - Present

PARK AVENUE SECURITIES LLC

Office #1: 1560 E Southlake Blvd Suite 225, Southlake, TX 76092
RIA
BD
CRD#: 46173
Southlake, TX
Past

June 12, 2024 - May 30, 2025

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
Dallas, TX
Past

October 9, 2023 - January 2, 2024

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
Anna, TX
Past

September 28, 2020 - September 14, 2023

HORNOR, TOWNSEND & KENT, LLC

BD
CRD#: 4031
ADDISON, TX
Past

August 14, 2019 - September 9, 2020

NYLIFE SECURITIES LLC

BD
CRD#: 5167
FRISCO, TX
Past

April 9, 2018 - January 23, 2019

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
FRISCO, TX
Past

June 10, 2017 - March 20, 2018

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
IRVING, TX
Past

October 11, 2010 - November 4, 2011

EDWARD JONES

RIA
CRD#: 250
ALLEN, TX
Past

September 27, 2010 - November 4, 2011

EDWARD JONES

BD
CRD#: 250
ALLEN, TX

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.

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
Texas
(1/14/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 6/10/2017
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 10/8/2010
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 6/10/2017
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 9/24/2010
General Securities Representative Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

PARK AVENUE SIGNATURE PORTFOLIO (1/2/2026)
VESTWISE (1/2/2026)
PARK AVENUE UMA/SMA SELECT AND STRATEGIST SELECT/STRATEGIST SELECT PLUS (1/2/2026)
PAS FORM ADV REVISED FIRM BROCHURE (1/2/2026)

Direct owners and executive officers

NamePositionCRD#
THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICAOWNER
BOGGS, ALLEN WARRENHEAD OF PRODUCT & SUPERVISION4751363
CASWELL, MARIANNE GRACEPRESIDENT AND ELECTED MEMBER6424651
DAVARASHVILI, KATEFINOP/PRINCIPAL FINANCIAL OFFICER.5642325
DESROCHERS, CARLELECTED MEMBER7807194
GALLO, JOSEPH MICHAELCHIEF COMPLIANCE OFFICER3108044
HERGAN, JOSHUA NEILGENERAL COUNSEL4572643
LESINA, LEYLA ADAELECTED MEMBER3004323
MAHER, CARLY PRITCHARDHEAD OF WEALTH MANAGEMENT STRATEGY AND BUSINESS OPERATIONS4003223
PERRY, MICHAEL ANDREWELECTED MEMBER2688179
RYNIKER, MICHAEL JOHNPRINCIPAL OPERATIONS OFFICER2474604

Regulatory assets under management

Total Number of Accounts71,074
AUM (Assets Under Management)$ 14,998,852,974

Disclosures

Regulatory Event20
Arbitration3

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
11/25/2025
Cover Page
Report
01/22/2025
Cover Page
Report
11/15/2023
Cover Page
Report

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.

Company Information

PARK AVENUE SECURITIES LLC

CRD#: 46173Southlake, TX 76092

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