RB
Robert L. Brunton
PARK AVENUE SECURITIES LLC
Campbell, CA 95008
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CRD#: 1271886
RB
Professional summary
Robert Lawrence Brunton JR., CFP®, who also goes by Bob Brunton, Robert Lawrence Brunton, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Campbell, California.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Robert has worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bob Brunton | Robert Lawrence Brunton
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) Outside Insurance Sales- Sales of insurance products not offered by Guardian, Start: 09/17/2012, Address: 48790 Plomosa Road Fremont CA 94539, 5 total hours per month; 5 during securities trading hours, Investment related, More than 10% annual compensation, 2) Fintel Inc. DBA Telesis Sales Group- Demand Creation of Electronics and other products to OEM's and Design Firms, Start: 09/12/1987, Address: 48790 Plomosa Road Fremont CA 94539, 15 total hours per month 10 during securities trading hours, Not Investment related, More than 10% annual compensation, 3) California Republican Party - Delegate, Start: 11/05/1994, Address: 48790 Plomosa Road Fremont CA 94539, 12 total hours per month; 0 during securities trading hours, Not Investment related, No annual compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Robert Lawrence Brunton JR.'s CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Lawrence Brunton JR.'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®
CFP®
Start date: 1987
Experience
Current
October 18, 2021 - Present
PARK AVENUE SECURITIES LLC
Office #1: 910 E. Hamilton Avenue Suite 150, Campbell, CA 95008Office #2: 1900 Camden Avenue, San Jose, CA 95124RIA
BD
CRD#: 46173
Campbell, CA
Current
October 18, 2021 - Present
PARK AVENUE SECURITIES LLC
Office #1: 910 E. Hamilton Avenue Suite 150, Campbell, CA 95008RIA
BD
CRD#: 46173
Campbell, CA
Past
March 23, 2020 - March 24, 2020
PROSPERITY WEALTH MANAGEMENT, INC.
RIA
CRD#: 174328
San Ramon, CA
Past
April 26, 2018 - October 25, 2021
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
FREMONT, CA
Past
May 8, 2015 - July 11, 2018
HARVEST INVESTMENT SERVICES, LLC
RIA
CRD#: 159390
FREMONT, CA
Past
January 30, 2015 - November 18, 2016
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
FREMONT, CA
Past
January 30, 2015 - October 25, 2021
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
FREMONT, CA
Past
December 12, 2013 - February 14, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
SAN JOSE, CA
Past
April 12, 2013 - February 14, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
SAN JOSE, CA
Past
October 19, 2011 - December 12, 2012
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
MILPITAS, CA
Past
February 25, 2010 - June 24, 2010
FIRST COMMAND BROKERAGE SERVICES, INC.
RIA
CRD#: 3641
VACAVILLE, CA
Past
February 25, 2010 - June 24, 2010
FIRST COMMAND BROKERAGE SERVICES, INC.
BD
CRD#: 3641
VACAVILLE, CA
Past
July 22, 2005 - December 31, 2009
VARIABLE INVESTMENT ASSOCIATES, INC.
BD
CRD#: 44412
TEA, SD
Past
January 15, 2003 - December 31, 2004
MONEY CONCEPTS CAPITAL CORP
BD
CRD#: 12963
PALM BEACH GARDENS, FL
Past
April 29, 1999 - March 4, 2002
MONEY CONCEPTS CAPITAL CORP
BD
CRD#: 12963
PALM BEACH GARDENS, FL
Past
December 2, 1996 - October 14, 1998
ADVISORY FINANCIAL CONSULTANTS, INC.
BD
CRD#: 7990
FREMONT, CA
Past
March 24, 1994 - March 1, 1995
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
March 24, 1994 - March 1, 1995
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
June 12, 1984 - January 4, 1993
MONEY CONCEPTS CAPITAL CORP
BD
CRD#: 12963
PALM BEACH GARDENS, FL
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
California(10/18/2021)
IAR
California(10/18/2021)
Exams
State Security Law Exam
General Industry/Product 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.
