Thomas Pemberton
Thomas Pemberton is a ChFC-designated registered investment advisor at Park Avenue Securities LLC, based in Raleigh, NC, with 29 years of industry experience. Thomas operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Financial Planning & Coaching, Retirement Planning. Their firm serves 71,074 clients with $15B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Park Avenue Securities (PAS) offers investment management through various programs. Some programs charge an all-inclusive bundled fee based on the value of your investments. This fee covers investment advice, trading, and other administrative costs. Fees vary depending on the specific program you choose. PAS also offers a digital advisory program called VestWise with a lower fee structure. PAS representatives are compensated for servicing your accounts, and this compensation may be more than if you paid separately for investment advice and brokerage services.
Location
5511 Capital Center Drive, Suite 104, Raleigh, NC, 27606
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Thomas sells non-Guardian life, long-term care (LTC), and long-term disability (LTD) insurance products through Outside Guardian Insurance. This activity takes a few hours per week and provides more than 10% of his annual compensation.
Employment History
Current Registrations
Park Avenue Securities LLC
Park Avenue Securities LLCBroker
Previous Registrations
C.P. Advisory Services
Guardian Investor Services CorporationBroker
Princor Financial Services CorporationBroker
State Registrations14 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.