Roland Ojeda
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Roland Ojeda, who also goes by Ron Ojeda, was a registered financial advisor .
Roland is a previously registered financial advisor and started their career in finance in 1985. Roland had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 19, 2014 - February 12, 2015
PARK AVENUE SECURITIES LLC
October 28, 2009 - May 15, 2014
ALLSTATE FINANCIAL SERVICES, LLC
June 24, 2004 - October 16, 2009
BLUE MOON FINANCIAL, LLC
April 4, 2002 - February 5, 2004
UNION PLANTERS INVESTMENT ADVISORS, INC.
January 18, 2002 - February 2, 2004
PFIC SECURITIES CORPORATION
August 20, 1996 - September 24, 2001
AMCORE INVESTMENT SERVICES, INC
October 30, 1995 - July 31, 1996
ROUND HILL SECURITIES, INC.
November 12, 1993 - October 26, 1995
PRUDENTIAL EQUITY GROUP, LLC
February 2, 1990 - May 9, 1990
CIBC WORLD MARKETS CORP.
July 28, 1989 - January 2, 1990
ATLAS FINANCIAL GROUP, INC.
February 23, 1989 - July 19, 1989
LEHMAN BROTHERS INC.
November 18, 1988 - February 25, 1989
POWER SECURITIES CORPORATION
November 20, 1985 - October 15, 1988
BLINDER, ROBINSON & CO., INC.
Primary Firm SEC Registration
PARK AVENUE SECURITIES LLC
CRD#: 46173 / SEC#: 801-58108, 8-51324
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PARK AVENUE SECURITIES LLC
CRD#: 46173 / SEC#: 801-58108, 8-51324
Contact information
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.
