TT
Thanh T. Tran
PARK AVENUE SECURITIES LLC
NEW HAVEN, CT 06511
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CRD#: 6065409
TT
Professional summary
Thanh Tan Tran, who also goes by Thanh Tan Tran, Thanh Tran Tran, Thanh Tran, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in New Haven, Connecticut.
Thanh is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Thanh has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thanh Tan Tran | Thanh Tran Tran | Thanh Tran
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.
CRS (Client Relationship Summary) - RIA
Click below to view Thanh Tan Tran's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thanh Tan Tran'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 7, 2024 - Present
PARK AVENUE SECURITIES LLC
Office #1: 555 Long Wharf Drive Suite 11a, New Haven, CT 06511RIA
BD
CRD#: 46173
NEW HAVEN, CT
Current
March 7, 2024 - Present
PARK AVENUE SECURITIES LLC
Office #1: 555 Long Wharf Drive Suite 11a, New Haven, CT 06511RIA
BD
CRD#: 46173
NEW HAVEN, CT
Past
May 11, 2022 - February 27, 2024
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
WEST HARTFORD, CT
Past
May 10, 2022 - February 27, 2024
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
WEST HARTFORD, CT
Past
April 12, 2019 - March 31, 2022
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
NEW HAVEN, CT
Past
April 9, 2019 - March 31, 2022
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
NEW HAVEN, CT
Past
June 24, 2015 - January 23, 2019
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
BD
CRD#: 21570
SHELTON, CT
Past
June 18, 2015 - January 24, 2019
AST INVESTMENT SERVICES, INC.
RIA
CRD#: 108897
SHELTON, CT
Past
July 9, 2012 - January 15, 2014
ANDREW GARRETT INC.
RIA
CRD#: 29931
NEW YORK, NY
Past
June 8, 2012 - January 15, 2014
ANDREW GARRETT INC.
BD
CRD#: 29931
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
California(4/10/2024)
IAR
California(4/10/2024)
RR
Connecticut(3/7/2024)
IAR
Connecticut(3/7/2024)
RR
Florida(10/16/2024)
IAR
Florida(10/17/2024)
RR
South Carolina(4/10/2024)
IAR
South Carolina(4/10/2024)
Exams
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.
Company Information
PARK AVENUE SECURITIES LLC
CRD#: 46173New Haven, CT 06511TRUST BUT VERIFY
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