Park Avenue Securities LLC

Investment Advisor
in Charlotte, NC
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About this Advisor

Thomas Dumas is a certified financial planner and chartered financial consultant located in Charlotte, North Carolina. Currently a registered investment advisor with Park Avenue Securities LLC, they have gathered 17 years of practice as a registered advisor. Dumas maintains Series 63 and Series 66 licenses, designating the advisor as a securities representative. Dumas can work with customers in Alabama, Colorado, Maryland, Ohio, Virginia, California, Florida, Georgia, Iowa, Maine, Minnesota, Mississippi, New Jersey, New Mexico, North Carolina, South Carolina and Texas. Throughout their career, they have worked at Guardian Life Insurance Company and Park Avenue Securities. Park Avenue Securities LLC is located in Charlotte, North Carolina, and operates out of 86 other offices in the United States. In aggregate, Park Avenue Securities LLC manages $3 billion in assets throughout 18,575 accounts and retains more than 1,708 people. The amount of assets the firm manages places it among the biggest firms in the country. The firm manages 15,111 accounts on a discretionary basis, meaning the advisor has the authority to make all investment decisions. Currently 24% of the advisor firm's clients are high-net-worth individuals, meaning they have greater than $1 million in assets. Park Avenue Securities LLC can offer financial planning services, portfolio management for individuals and small businesses and educational seminars. The firm may charge clients asset-based, hourly and fixed fees.

Certifications and Registrations

Series 63, Series 66, Certified Financial Planner, Chartered Financial Consultant

Years of Experience

17 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Educational seminars/workshops

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees



Office Location

4201 Congress St Suite 295
Charlotte, NC 28209

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Park Avenue Securities LLC Brokerage Details

Total Assets Under Management


NC Average: $7,464,549,021
Total Number of Employees


NC Average: 88
Total Number of Accounts


NC Average: 3,892
Average Account Size


NC Average: $1,917,921

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Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers
  • Educational seminars/workshops

Thomas Dumas Work History

Thomas has 17 years of experience.

2001 - Present (18 years)

Guardian Life Insurance Company

2001 - Present (18 years)

Park Avenue Securities


Thomas Dumas has no disclosures.

Please visit their SEC profile for more details.

This content was compiled from the SEC and FINRA.

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