JR
Joseph K. Rivara
PARK AVENUE SECURITIES LLC
Paramus, NJ 07652
Some features on this profile are disabled
CRD#: 1205615
JR
Professional summary
Joseph K Rivara, who also goes by Joseph Kenneth Rivara, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Paramus, New Jersey.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Joseph 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
Joseph Kenneth Rivara
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. Insurance sales-sell products other than Guardian when appropriate, Start: 06/01/1996, Address: 52 Forest Avenue, Paramus NJ 07652, 10 total hours per month; 10 during securities trading hours, Investment related, More than 10% annual compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Joseph K Rivara's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joseph K Rivara'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
January 15, 2003 - Present
PARK AVENUE SECURITIES LLC
Office #1: 52 Forest Ave, Paramus, NJ 07652RIA
BD
CRD#: 46173
Paramus, NJ
Current
May 3, 1999 - Present
PARK AVENUE SECURITIES LLC
Office #1: 52 Forest Ave, Paramus, NJ 07652RIA
BD
CRD#: 46173
Paramus, NJ
Past
August 3, 1995 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
June 14, 1994 - November 2, 1994
NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.
BD
CRD#: 824
NEW YORK, NY
Past
April 30, 1991 - May 18, 1994
TUCKER ANTHONY INCORPORATED
BD
CRD#: 837
BOSTON, MA
Past
October 17, 1989 - April 22, 1991
WHITEHILL CAPITAL, INC.
BD
CRD#: 16557
Past
February 6, 1989 - August 1, 1989
THOMSON MCKINNON SECURITIES INC.
BD
CRD#: 829
Past
May 26, 1988 - February 6, 1989
NOMURA SECURITIES INTERNATIONAL, INC.
BD
CRD#: 4297
NEW YORK, NY
Past
October 2, 1987 - March 19, 1988
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
Past
November 23, 1983 - September 23, 1987
MORGAN STANLEY DW INC.
BD
CRD#: 7556
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
Connecticut(8/2/2004)
RR
Florida(7/17/2025)
IAR
Florida(7/21/2025)
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
Pennsylvania(9/20/2007)
RR
South Carolina(5/12/2021)
IAR
South Carolina(5/13/2021)
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.
