Thomas F Bauman

Employer firm

Park Avenue Securities LLC CRD 46173

$19.6B regulatory AUM 38,649 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Park Avenue Securities Llc

10 Hudson Yards, New York, NY 10001 • United States

Current Registrations

Authority	Category	Status	Date
KY	RA	APPROVED	2025-08-20
RI	RA	APPROVED	2025-01-17
WA	RA	APPROVED	2022-08-23
MO	RA	APPROVED	2022-04-12
WI	RA	APPROVED	2022-02-25
MI	RA	APPROVED	2022-01-06
VT	RA	APPROVED	2021-05-14
NY	RA	APPROVED	2021-04-16
CT	RA	APPROVED	2021-01-20
LA	RA	APPROVED	2021-01-08
AZ	RA	APPROVED	2020-09-04
TX	RA	APPROVED	2019-11-05
DE	RA	APPROVED	2019-04-29
GA	RA	APPROVED	2019-03-15
VA	RA	APPROVED	2019-02-25
MD	RA	APPROVED	2017-12-19
NC	RA	APPROVED	2015-10-05
SC	RA	APPROVED	2014-01-08
OR	RA	APPROVED	2013-10-07
CA	RA	APPROVED	2013-07-25
PA	RA	APPROVED	2011-04-05
FL	RA	APPROVED	2010-03-03
CO	RA	APPROVED	2009-05-18
MA	RA	APPROVED	2009-05-18
NJ	RA	APPROVED	2006-07-27

KY RA
APPROVED

Since 2025-08-20
RI RA
APPROVED

Since 2025-01-17
WA RA
APPROVED

Since 2022-08-23
MO RA
APPROVED

Since 2022-04-12
WI RA
APPROVED

Since 2022-02-25
MI RA
APPROVED

Since 2022-01-06
VT RA
APPROVED

Since 2021-05-14
NY RA
APPROVED

Since 2021-04-16
CT RA
APPROVED

Since 2021-01-20
LA RA
APPROVED

Since 2021-01-08
AZ RA
APPROVED

Since 2020-09-04
TX RA
APPROVED

Since 2019-11-05
DE RA
APPROVED

Since 2019-04-29
GA RA
APPROVED

Since 2019-03-15
VA RA
APPROVED

Since 2019-02-25
MD RA
APPROVED

Since 2017-12-19
NC RA
APPROVED

Since 2015-10-05
SC RA
APPROVED

Since 2014-01-08
OR RA
APPROVED

Since 2013-10-07
CA RA
APPROVED

Since 2013-07-25
PA RA
APPROVED

Since 2011-04-05
FL RA
APPROVED

Since 2010-03-03
CO RA
APPROVED

Since 2009-05-18
MA RA
APPROVED

Since 2009-05-18
NJ RA
APPROVED

Since 2006-07-27

Branch Locations

101 Crawfords Corner Road Suite 2405, Holmdel, NJ 07733 • United States

Lafayette, NJ • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Park Avenue Securities	Cranford	NJ	03/2013	06/2023
Guardian Life Insurance	Cranford	NJ	03/2013	06/2023
Guardian Life Insurance	Holmdel	NJ	10/2019	06/2023
Park Avenue Securities	Holmdel	NJ	10/2019	06/2023
Guardian Life Insurance Company	Parsippany	NJ	06/2023	11/2023
Park Avenue Securities	Parsippany	NJ	06/2023	11/2023
Guardian Life Insurance Company	Holmdel	NJ	11/2023	Present
Park Avenue Securities	Holmdel	NJ	11/2023	Present
Guardian Life Insurance Company	Lafayette	NJ	06/2024	Present
Park Avenue Securities	Lafayette	NJ	06/2024	Present

03/2013 → 06/2023

Park Avenue Securities

Cranford, NJ
03/2013 → 06/2023

Guardian Life Insurance

Cranford, NJ
10/2019 → 06/2023

Guardian Life Insurance

Holmdel, NJ
10/2019 → 06/2023

Park Avenue Securities

Holmdel, NJ
06/2023 → 11/2023

Guardian Life Insurance Company

Parsippany, NJ
06/2023 → 11/2023

Park Avenue Securities

Parsippany, NJ
11/2023 → Present

Guardian Life Insurance Company

Holmdel, NJ
11/2023 → Present

Park Avenue Securities

Holmdel, NJ
06/2024 → Present

Guardian Life Insurance Company

Lafayette, NJ
06/2024 → Present

Park Avenue Securities

Lafayette, NJ

Other Businesses

1. Insurance other than Guardian-Sell the above products from insurance companies other than Guardian Life or Berkshire Life. Start: 01-01-2016, Address: 101 CRAWFORDS CORNER RD, STE 2405, HOLMDEL, NJ 07733, 2 total hour per month; 2 during securities trading hours, Investment related, Less than 10% annual compensation,

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2006-03-08
S63	Uniform Securities Agent State Law Examination	1989-09-28

S65 Uniform Investment Adviser Law Examination

2006-03-08
S63 Uniform Securities Agent State Law Examination

1989-09-28

Designations

Certified Financial Planner
Chartered Financial Consultant

Other Names

Tom Bauman
Thomas Francis Bauman

View on SEC IAPD