RJ
Richard W. Jasper
PARK AVENUE SECURITIES LLC
YORKTOWN HEIGHTS, NY
Some features on this profile are disabled
CRD#: 1190115
RJ
Professional summary
Richard W Jasper, who also goes by Richard Warren Jasper, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Yorktown Heights, New York.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Richard has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Richard Warren Jasper
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. PUBLISHING BOOKS-TAKE PICTURES OF PEOPLE AND THEIR HOMES AND CREATE HARD BOUND BOOKS. ALSO DO PORTRAITS OF BUSINESS PEOPLE FOR MARKETING MATERIALS.
Start: 03/01/2008
Address: 1545 FOX TAIL LANE YORKTOWN HEIGHTS, NY 10598
2 non bus hrs per month
Not investment related
2. INSURANCE OTHER THAN GUARDIAN-INSURANCE PRODUCTS OTHER THAN THROUGH GUARDIAN, SUCH AS LONG TERM CARE AND FIXED ANNUITIES,
Start: 04/01/1987,
Address: 1545 FOX TAIL LANE YORKTOWN HEIGHTS, NY 10598,
15 total hours per month; 15 during securities trading hours,
Investment related
More than 10% Annual Compensation
3. REAL ESTATE INVESTMENT
MEMBER OF AN LLC THAT OWNS PROPERTY LOCATED AT 52 FOREST AVENUE PARAMUS NJ 07652 THAT HOUSES THE MAIN AGENCY
Start: 09/01/2001
Address: 52 FOREST AVENUE PARAMUS NJ 07652
0 hrs per month
Investment related
CRS (Client Relationship Summary) - RIA
Click below to view Richard W Jasper's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard W Jasper'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®
NoneExperience
Current
April 23, 2001 - Present
PARK AVENUE SECURITIES LLC
RIA
BD
CRD#: 46173
YORKTOWN HEIGHTS, NY
Current
May 3, 1999 - Present
PARK AVENUE SECURITIES LLC
Office #1: 52 Forest Ave, Paramus, NJ 07652RIA
BD
CRD#: 46173
Paramus, NJ
Past
February 16, 1995 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
January 31, 1995 - December 31, 1996
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
SYRACUSE, NY
Past
September 4, 1990 - January 5, 1995
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
November 9, 1984 - September 7, 1990
W.D.R. EQUITY RESOURCES, INC.
BD
CRD#: 14241
Past
September 26, 1983 - March 16, 1984
NYLIFE SECURITIES LLC
BD
CRD#: 5167
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
Arizona(6/14/2001)
IAR
Arizona(5/3/2024)
RR
California(1/15/2008)
IAR
California(1/15/2008)
RR
Connecticut(5/3/1999)
IAR
Connecticut(4/23/2001)
RR
Delaware(3/5/2020)
IAR
Delaware(3/5/2020)
RR
Florida(10/20/2004)
IAR
Florida(2/5/2019)
RR
Idaho(2/24/2023)
IAR
Idaho(3/21/2023)
RR
Maryland(2/3/2012)
IAR
Maryland(6/5/2014)
RR
Massachusetts(11/15/2019)
IAR
Massachusetts(11/21/2019)
RR
New Jersey(5/3/1999)
IAR
New Jersey(1/15/2003)
RR
New York(5/3/1999)
IAR
New York(4/16/2021)
RR
North Carolina(9/13/2021)
IAR
North Carolina(9/21/2021)
RR
Pennsylvania(11/16/2021)
IAR
Pennsylvania(11/16/2021)
RR
Rhode Island(5/3/1999)
IAR
Rhode Island(8/9/2017)
RR
South Carolina(1/12/2024)
RR
Utah(1/4/2022)
IAR
Utah(1/4/2022)
RR
Virginia(12/6/2013)
IAR
Virginia(6/5/2014)
RR
Washington(4/4/2007)
IAR
Washington(4/5/2007)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
