PM
Patrick E. Moore
PARK AVENUE SECURITIES LLC
FRANKLIN, TN 37067
Some features on this profile are disabled
CRD#: 841764
PM
Professional summary
Patrick E Moore, who also goes by Patrick Eugene Moore, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Franklin, Tennessee.
Patrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1977. Patrick has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Patrick Eugene Moore
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. PATRICK E. MOORE GROUP LLC, ADDRESS: 6325 JOHNSON CHAPEL RD W., BRENTWOOD TN 37027, START DATE: 02/16/2017, 2 HOURS PER MONTH/ 2 DURING TRADING HOURS, NON INVESTMENT RELATED, MORE THAN 10% ANNUAL COMPENSATION, 2) Pat Moore- Author, Start date: 04/02/2021, Address: 6325 Johnson Chapel Rd. west, Brentwood TN 37027, 10-20 total hours per month, 5-10 during securities trading hours, Not investment related, Less than 10% annual compensation, 3) Hope4America.us, Start Date: 6/21/2023, Address: 6029 Native Pony Trail, College Grove, TN 37046, 10 total hours per month, 0 hours during securities trading hours, Not investment related, More than 10% annual compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Patrick E Moore's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Patrick E Moore'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
October 7, 2019 - Present
PARK AVENUE SECURITIES LLC
Office #1: 725 Cool Springs Blvd Suite 450, Franklin, TN 37067RIA
BD
CRD#: 46173
FRANKLIN, TN
Current
October 7, 2019 - Present
PARK AVENUE SECURITIES LLC
Office #1: 725 Cool Springs Blvd Suite 450, Franklin, TN 37067RIA
BD
CRD#: 46173
FRANKLIN, TN
Past
April 25, 2018 - October 8, 2019
PRIVATE CLIENT SERVICES, LLC
BD
CRD#: 120222
FRANKLIN, TN
Past
July 27, 2017 - October 9, 2019
PRIME CAPITAL FINANCIAL
RIA
CRD#: 288712
Franklin, TN
Past
February 3, 2014 - October 13, 2017
LAWING FINANCIAL INC
RIA
CRD#: 117178
BRENTWOOD, TN
Past
February 3, 2014 - April 30, 2018
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
BRENTWOOD, TN
Past
June 16, 2006 - February 19, 2014
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
BRENTWOOD, TN
Past
November 17, 2004 - December 31, 2010
PEACHTREE PLANNING ADVISORS, INC.
RIA
CRD#: 112787
BRENTWOOD, TN
Past
April 15, 2003 - February 19, 2014
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
BRENTWOOD, TN
Past
July 7, 1999 - April 2, 2003
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
July 7, 1999 - April 2, 2003
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
March 18, 1994 - July 20, 1999
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
January 27, 1983 - March 25, 1994
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
August 26, 1977 - June 16, 1982
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
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
IAR
Alabama(10/7/2019)
RR
Alabama(10/10/2019)
RR
California(10/7/2019)
RR
Florida(10/7/2019)
IAR
Florida(10/8/2019)
RR
Georgia(10/7/2019)
IAR
Georgia(10/8/2019)
RR
Indiana(10/7/2019)
IAR
Indiana(10/7/2019)
RR
Kansas(12/5/2019)
IAR
Kansas(3/18/2020)
RR
Kentucky(10/7/2019)
IAR
Kentucky(10/7/2019)
RR
Michigan(7/21/2022)
IAR
Michigan(7/21/2022)
RR
North Carolina(10/7/2019)
IAR
North Carolina(10/7/2019)
RR
Ohio(8/25/2021)
IAR
Ohio(8/25/2021)
RR
Pennsylvania(7/29/2022)
IAR
Pennsylvania(7/29/2022)
RR
Tennessee(10/7/2019)
IAR
Tennessee(10/9/2019)
RR
Texas(10/7/2019)
IAR
Texas(10/7/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 8/23/1977
Registered Representative ExaminationSRO 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.
