RB
Richard J. Bell
PARK AVENUE SECURITIES LLC
WINDSOR, CO
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CRD#: 1054684
RB
Professional summary
Richard J Bell, CFP®, who also goes by Richard Jay Bell, Rick Bell, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Windsor, Colorado.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Richard has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Richard Jay Bell | Rick Bell
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. Financial Sales-provide clients with the following insurance products as needed: Term and permanent life insurance, long-term care insurance, personal and group health insurance and fixed annuities from various outside companies, Start: 10/01/1989 Address: 333 N. Indian Hill Blvd., Claremont, CA 91711 Hrs per month - Tot/Bus: 20/8 Investment related >10% annual income 2) Power of Attorney for Spouse, Start: 05/13/2016, Address: 1834 Paley Drive, Windsor, CA 80550, 0 total hours per month, Not investment related, No annual compensation, 3) Rental Property Purchase- Start: 05/01/2023, Address: 5871 Banner Street, Timnath, CO 80547, 2 total hours per month; 0 during securities trading hours, Investment related, Less than 10% annual compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Richard J Bell's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard J Bell's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
July 20, 2006 - Present
PARK AVENUE SECURITIES LLC
RIA
BD
CRD#: 46173
WINDSOR, CO
Current
March 24, 2006 - Present
PARK AVENUE SECURITIES LLC
Office #1: 2875 Michelle Drive Suite 110, Irvine, CA 92606RIA
BD
CRD#: 46173
IRVINE, CA
Past
July 26, 2004 - March 22, 2006
AMERITAS INVESTMENT COMPANY, LLC
RIA
CRD#: 14869
CLAREMONT, CA
Past
July 1, 2004 - March 22, 2006
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
LINCOLN, NE
Past
July 9, 1998 - December 31, 2007
BELL, RICHARD JAY
RIA
CRD#: 136123
CLAREMONT, CA
Past
July 8, 1997 - July 1, 2004
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
RANCHO CUCAMONGA, CA
Past
November 2, 1989 - July 1, 2004
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
April 3, 1989 - November 7, 1989
DECADE SECURITIES CORP.
BD
CRD#: 10226
BROOKFIELD, WI
Past
May 6, 1986 - August 12, 1987
GULLEDGE SECURITIES CORPORATION
BD
CRD#: 13391
Past
October 26, 1984 - January 27, 1986
TECHNICAL EQUITIES FINANCIAL SERVICES, INC.
BD
CRD#: 15215
Past
July 9, 1984 - October 29, 1984
G. R. PHELPS & CO., INC.
BD
CRD#: 173
Past
July 22, 1982 - September 23, 1983
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PA
PARK AVENUE SECURITIES LLC
PARK AVENUE SECURITIES LLC
CRD#: 46173 / SEC#: 801-58108, 8-51324
RIA
Registered Investment Advisory firm - SEC (11/13/2000 Approved)District of Columbia
Registered Investment Advisory firm - SEC (1/2/2002 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(7/12/2019)
RR
Arizona(3/24/2006)
IAR
Arizona(8/1/2006)
RR
California(3/24/2006)
IAR
California(7/20/2006)
RR
Colorado(4/7/2020)
IAR
Colorado(4/7/2020)
RR
Delaware(1/29/2014)
IAR
Delaware(1/29/2014)
RR
Florida(6/13/2016)
IAR
Florida(6/14/2016)
RR
Georgia(7/12/2019)
RR
Hawaii(7/12/2019)
RR
Idaho(4/9/2015)
IAR
Idaho(4/1/2025)
RR
Kansas(7/12/2019)
RR
Michigan(7/6/2019)
IAR
Michigan(10/12/2021)
RR
Missouri(9/20/2007)
IAR
Missouri(9/17/2008)
RR
Nebraska(8/14/2025)
IAR
Nebraska(8/15/2025)
RR
Nevada(10/19/2011)
IAR
Nevada(11/2/2011)
RR
New Jersey(5/20/2010)
IAR
New Jersey(4/7/2022)
RR
New York(2/28/2012)
RR
North Carolina(11/27/2018)
IAR
North Carolina(11/27/2018)
RR
Ohio(3/24/2006)
IAR
Ohio(4/28/2017)
RR
Oregon(6/8/2012)
IAR
Oregon(1/6/2014)
RR
Pennsylvania(1/4/2019)
RR
Puerto Rico(12/21/2024)
IAR
Puerto Rico(12/21/2024)
RR
South Carolina(9/6/2007)
IAR
South Carolina(12/12/2023)
RR
Texas(8/3/2009)
IAR
Texas(8/3/2009)
RR
Utah(3/24/2006)
IAR
Utah(7/26/2006)
RR
Virginia(10/23/2012)
RR
Washington(6/18/2015)
IAR
Washington(6/18/2015)
RR
Wisconsin(7/13/2012)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PA
PARK AVENUE SECURITIES LLC
PARK AVENUE SECURITIES LLC
CRD#: 46173 / SEC#: 801-58108, 8-51324
RIA
Registered Investment Advisory firm - SEC (11/13/2000 Approved)District of Columbia
Registered Investment Advisory firm - SEC (1/2/2002 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
10 Hudson Yards, New York, NY 10001
Mailing Address
10 Hudson Yards, New York, NY 10001
Phone number
+1 (888) 600-4667
Established
Delaware since 08/20/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,984
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA | OWNER | |
| BOGGS, ALLEN WARREN | HEAD OF PRODUCT & SUPERVISION | 4751363 |
| CASWELL, MARIANNE GRACE | PRESIDENT AND ELECTED MEMBER | 6424651 |
| DAVARASHVILI, KATE | FINOP/PRINCIPAL FINANCIAL OFFICER. | 5642325 |
| DESROCHERS, CARL | ELECTED MEMBER | 7807194 |
| GALLO, JOSEPH MICHAEL | CHIEF COMPLIANCE OFFICER | 3108044 |
| HERGAN, JOSHUA NEIL | GENERAL COUNSEL | 4572643 |
| LESINA, LEYLA ADA | ELECTED MEMBER | 3004323 |
| MAHER, CARLY PRITCHARD | HEAD OF WEALTH MANAGEMENT STRATEGY AND BUSINESS OPERATIONS | 4003223 |
| PERRY, MICHAEL ANDREW | ELECTED MEMBER | 2688179 |
| RYNIKER, MICHAEL JOHN | PRINCIPAL OPERATIONS OFFICER | 2474604 |
Regulatory assets under management
| Total Number of Accounts | 71,074 |
| AUM (Assets Under Management) | $ 14,998,852,974 |
Disclosures
| Regulatory Event | 20 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 01/22/2025 | ||
| 11/15/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
