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Detailed Report
THOMAS B PEMBERTON
BRAD PEMBERTON, THOMAS BRADFORD PEMBERTON
CRD#: 2752998
IA
Investment Adviser
B
Broker
PARK AVENUE SECURITIES LLCCRD#: 46173 2626 GLENWOOD AVENUE
SUITE 450
RALEIGH, NC 27608
Registration History
1996199820002002200420062008201020122014201620182020202220242026IAPARK AVENUE SECURITIES LLC (CRD# 46173)2004 - Present (20 years)BPARK AVENUE SECURITIES LLC (CRD# 46173)1999 - Present (25 years)BGUARDIAN INVESTOR SERVICES COR... (CRD# 6635)1997 - 1999 (1 year)BPRINCOR FINANCIAL SERVICES COR... (CRD# 1137)1996 - 1997 (1 year)IAC.P. ADVISORY SERVICES (CRD# 118052)2000 - 2004 (3 years)
License(s)

State Registrations

B
Alabama 4/30/2009
IA
New York 4/16/2021
IA
Arizona 4/24/2017
B
North Carolina 5/3/1999
B
Arizona 4/25/2017
IA
North Carolina 4/1/2004
B
California 8/28/2001
B
South Carolina 1/24/2020
B
Florida 4/4/2005
IA
South Carolina 2/19/2021
IA
Florida 6/24/2013
B
Texas 6/20/2019
B
Georgia 9/20/2018
IA
Texas 6/20/2019
IA
Georgia 9/20/2018
B
Virginia 8/28/2001
B
New York 7/18/2008

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
PARK AVENUE SECURITIES LLC (CRD#:46173)
2626 GLENWOOD AVENUE SUITE 450, RALEIGH, NC 27608
Registered with this firm since 4/1/2004
B
PARK AVENUE SECURITIES LLC (CRD#:46173)
2626 GLENWOOD AVENUE SUITE 450, RALEIGH, NC 27608
Registered with this firm since 5/3/1999
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 12/31/2000 - 04/01/2004 C.P. ADVISORY SERVICES (CRD#:118052) RALEIGH, NC
B
 06/04/1997 - 05/03/1999 GUARDIAN INVESTOR SERVICES CORPORATION (CRD#:6635) NEW YORK, NY
B
 06/13/1996 - 06/10/1997 PRINCOR FINANCIAL SERVICES CORPORATION (CRD#:1137) DES MOINES, IA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.