RS
Richard A. Shurmer
PARK AVENUE SECURITIES LLC
CINCINNATI, OH 45202
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CRD#: 1350709
RS
Professional summary
Richard A Shurmer III, who also goes by Rich Shurmer, Richard Alfred Shurmer III, Richard Alfred Shurmer, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Cincinnati, Ohio.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Richard has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rich Shurmer | Richard Alfred Shurmer Iii | Richard Alfred Shurmer
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. CO-TRUSTEE/CO-EXECUTOR OF PARENTS TRUST
Start: 02/03/2004
Address: 419 Plum St, Cincinnati, Ohio 45202
1 bus hr per month
Investment Related
2. Lifetime Financial Growth LLC
Broker other life insurance, health insurance products as well as 401k products.
Start: 01-01-2006
Address: 419 Plum St, Cincinnati, Ohio 45202
2 bus hrs per month
Investment Related
CRS (Client Relationship Summary) - RIA
Click below to view Richard A Shurmer III's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard A Shurmer III'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 23, 2001 - Present
PARK AVENUE SECURITIES LLC
Office #1: 419 Plum Street, Cincinnati, OH 45202RIA
BD
CRD#: 46173
CINCINNATI, OH
Current
May 3, 1999 - Present
PARK AVENUE SECURITIES LLC
Office #1: 419 Plum Street, Cincinnati, OH 45202RIA
BD
CRD#: 46173
CINCINNATI, OH
Past
May 15, 1992 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
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(1/17/2024)
IAR
Alabama(1/17/2024)
RR
Arizona(9/14/2018)
IAR
Arizona(8/31/2022)
RR
California(5/3/1999)
IAR
California(9/18/2002)
RR
Colorado(1/3/2001)
IAR
Colorado(9/11/2002)
RR
Florida(5/3/1999)
IAR
Florida(4/30/2001)
RR
Georgia(2/4/2002)
RR
Illinois(5/3/1999)
IAR
Illinois(1/16/2015)
RR
Indiana(5/3/1999)
IAR
Indiana(11/1/2002)
RR
Kentucky(5/3/1999)
IAR
Kentucky(9/25/2002)
RR
Louisiana(9/10/2021)
IAR
Louisiana(9/14/2021)
RR
Massachusetts(1/26/2024)
RR
Missouri(10/23/2025)
RR
New Hampshire(2/7/2022)
IAR
New Hampshire(2/15/2022)
RR
New Jersey(5/28/2021)
IAR
New Jersey(5/28/2021)
RR
New York(6/10/2024)
IAR
New York(6/10/2024)
RR
North Carolina(1/30/2018)
IAR
North Carolina(1/30/2018)
RR
Ohio(5/3/1999)
IAR
Ohio(1/23/2001)
RR
Pennsylvania(3/14/2025)
IAR
Pennsylvania(3/18/2025)
RR
South Carolina(7/14/2003)
IAR
South Carolina(9/9/2005)
RR
South Dakota(6/3/2024)
IAR
South Dakota(6/3/2024)
RR
Tennessee(10/8/2014)
RR
Texas(3/16/2018)
IAR
Texas(3/16/2018)
RR
Virginia(7/11/2006)
RR
Washington(2/19/2015)
IAR
Washington(2/20/2015)
RR
Wisconsin(3/22/2018)
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.
Company Information
PARK AVENUE SECURITIES LLC
CRD#: 46173Cincinnati, OH 45202TRUST BUT VERIFY
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