Thomas C. Paron

Current Employers

Employment History

• 12/1991 → Present
  L.A. Hertberg Associates Inc.,
  Newtown, CT
• 01/2000 → Present
  Compass Capital Management
  Southbury, CT
• 09/2013 → Present
  Cetera Advisor Networks Llc
  El Segundo, CA
• 01/2017 → Present
  Kestra Investment Services, Llc
  Southbury, CT
• 01/2017 → Present
  Kestra Advisory Services, Llc
  Southbury, CT

Previous Registrations

• 2005-06-13 → 2018-03-29
  Compass Capital Management
  Southbury, CT
• 2013-09-03 → 2017-05-26
  Cetera Wealth Services, Llc
  Southbury, CT
• 2009-02-19 → 2013-09-03
  Walnut Street Securities, Inc.
  Southbury, CT
• 2003-01-10 → 2004-12-31
  Compass Capital Management
  Southbury, CT

Other Businesses

Name: Buttonball Farm/Ventures Investment Related: No Address: 136 Sycamore Avenue Woodbury CT 06798 Nature of Business: Other Other/None of the Above private securities Position, Title or Relationship: Passive Investing Start Date: 1/1/2010 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Passive Investing Name: Kestra Advisory Services LLC Investment Related: Yes Address: Two Pomperaug Office Park, Suite 205 & 301 Southbury CT 06488 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Managing director Start Date: 8/1/2015 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Managing the business Kestra owns. Name: Buttonball Farm Investment Related: Yes Address: 136 Sycamore Avenue Woodbury CT 06798 Nature of Business: Real Estate Position, Title or Relationship: Owner Start Date: 1/1/2000 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Landlord Name: Compass Capital Management Investment Related: Yes Address: Two Pomperaug Office Park, Suite 205 & 301 Southbury CT 06488 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Investment Advisory services through an independent outside RIA; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Managing Director Start Date: 1/1/2006 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Running the business Name: Buttonball Investment Related: No Address: 136 Sycamore Avenue Woodbury CT 06798 Nature of Business: Real Estate Position, Title or Relationship: Owner Start Date: 4/1/1996 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: NNN rent. Collect rent and pay operating expenses Name: Hungry Free Vermont- Board of Directors Investment Related: No Address: 38 EAstwood Drive # 100 South Burlington VT 05403 Nature of Business: Board Position Position, Title or Relationship: board of director Start Date: 7/1/2021 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: 3 year term, serving with a group of 10 other board members

Exams

• S65 Uniform Investment Adviser Law Examination
  2002-11-07
• S63 Uniform Securities Agent State Law Examination
  1991-02-21

Other Names

• Tom Paron
• Thomas Paron