Individual Firm
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
THOMAS C GRANT
THOMAS CLIFFORD GRANT
CRD#: 227591
IA
B
PARK AVENUE SECURITIES LLCCRD#: 46173 197 SCOTT SWAMP RD.
FARMINGTON, CT 06032
FARMINGTON, CT 06032
View By:
3/1/1998
Customer Dispute
Settled
State Registrations
B
Arkansas 5/13/2020
IA
Michigan 1/4/2010
IA
Arkansas 5/13/2020
B
Missouri 12/17/2015
B
California 10/18/2006
IA
Missouri 12/17/2015
IA
California 1/5/2016
B
New Hampshire 2/8/2023
B
Colorado 10/14/2022
IA
New Hampshire 2/8/2023
IA
Colorado 10/14/2022
B
New Jersey 1/26/2006
B
Connecticut 1/3/2004
B
New Mexico 11/2/2016
IA
Connecticut 5/9/2005
IA
New Mexico 11/4/2016
B
Florida 4/13/2011
B
New York 12/19/2005
IA
Florida 11/14/2016
IA
New York 4/16/2021
B
Idaho 9/4/2018
B
North Carolina 1/9/2024
B
Illinois 4/10/2023
IA
North Carolina 1/10/2024
IA
Illinois 4/10/2023
B
Pennsylvania 5/16/2018
B
Kansas 1/13/2025
IA
Pennsylvania 5/5/2020
IA
Kansas 1/13/2025
B
Rhode Island 10/10/2006
B
Louisiana 3/6/2023
IA
Rhode Island 2/9/2007
IA
Louisiana 3/6/2023
B
South Carolina 8/30/2018
B
Maine 1/7/2025
B
Texas 7/10/2019
IA
Maine 1/7/2025
IA
Texas 7/10/2019
B
Massachusetts 1/28/2011
B
Virginia 1/4/2024
IA
Massachusetts 2/1/2011
IA
Virginia 1/4/2024
B
Michigan 1/21/2009
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 5/9/2005
B
Registered with this firm since 12/17/2004
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/26/2002 - 02/19/2004 | HARTFORD, CT | |
B | 07/31/1979 - 02/19/2004 | NEW YORK, NY | |
B | 10/03/1974 - 02/18/1979 |
For additional information about investment advisers or broker-dealers, please visit
B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.