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Thomas Pallogudis

Park Avenue Securities LLC
28 Years of Experience
Tarrytown, NY
1 DisclosureBrokerSells Insurance
View SEC Summary
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Thomas Pallogudis is a registered investment advisor at Park Avenue Securities LLC, based in Tarrytown, NY, with 28 years of industry experience. Thomas is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Charitable Giving, Corporate Executives, Education Planning, and 7 more. Their firm serves 82,118 clients with $20B in assets under management.

Park Avenue Securities LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1914 advisors
Number of Clients
82,118 clients
Average Client Portfolio
$238K average
Assets Under Management
$19.6B

Fee Structure

Minimum Investment:$5K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $500K2.05%
$500K - $1000K2.00%
$1.0M - $2.0M1.95%
$2M+1.90%

Schedule reflects the maximum client fee for the Park Avenue Portfolio Select program. Other wrap fee and third-party programs have varying fee schedules with advisor fees ranging from 0.50% to 1.75% plus platform and manager fees.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

580 White Plains Rd, Suite 205, Tarrytown, NY, 10591

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
March 2009
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Thomas provides group medical benefits and is the founder of Women on the Verge, an organization promoting women's stories and financial literacy. He also holds power of attorney for his wife.

Employment History
Current Registrations
Park Avenue Securities LLC
June 2010 - Present · 16 yrs 4 mos
Park Avenue Securities LLCBroker
March 2009 - Present · 17 yrs 7 mos
Previous Registrations
Metlife Securities INC.Broker
December 2002 - February 2009 · 6 yrs 2 mos
Metropolitan Life Insurance CompanyBroker
December 2002 - July 2007 · 4 yrs 7 mos
Signator Investors, INC.Broker
August 1998 - December 2002 · 4 yrs 4 mos
State Registrations24 states
ALCACOCTDEFLGAHIILMAMDMINCNHNJNYOHPASCTNTXUTVAWA
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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Thomas Pallogudis - Financial Advisor | TrueAdvisor