RB
Ralph L. Barden
PARK AVENUE SECURITIES LLC
ROME, GA 30161
Some features on this profile are disabled
CRD#: 1571020
RB
Professional summary
Ralph Lamar Barden is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Rome, Georgia.
Ralph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Ralph has worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) Peachtree Tax Advisors, LLC-Provide income tax consultation and tax preparation services,
Start date: 01/01/1982.
Address: 500 E 2nd. Street Rome, GA 30161,
2 total hours per month, 2 during securities trading hours,
Not investment related,
Less than 10% annual compensation,
2) THE NEW ORLEANS BAPTIST THEOLOGICAL SEMINARY-teach a class to graduate ministerial students,
Start date: 01/01/2010,
Address: Johnson Ferry Rd, Atlanta, GA,
2 total hours per month, 2 during securities trading hours,
Not investment related,
No annual compensation,
3) Southern Rover Company LLC-50% owner,
Start date: 08/01/2004,
Address: 636 Floyd Springs Rd., Armuchee, GA 30105,
0 total hours per month,
Not investment related,
No annual compensation,
4) Clocktower Wealth Management, LLC-Sales and Service of Brokerage; Life, Accident, Health/DI/LTC and Annuity Accounts,
Start date: 08/01/2019,
Address: 500 E. 2nd Street, Rome, GA 30161,
10 total hours per month, 10 during securities trading hours,
Investment related,
Less than 10% annual compensation,
5) Power of Attorney for Carolyn N. Barden, My spouse,
Start date: 12/01/2020,
Address: 304 Rustic Ridge NE Rome, GA 30161,
0 total hours per month,
Investment related,
No annual compensation,
6) Peachtree Planning of North Georgia-LLC that was formed to use as a marketing company for insurance and investment business,
Start date: 10/01/2022,
Address: 500 E. 2nd Street, Rome, GA 30161-3112,
1 total hours per month; 1 during securities trading hours,
Not investment related,
No annual compensation,
7) Garden Lakes Baptist Church Foundation Inc.,
Start date: 5/01/2025,
Address: 2300 Redmond Circle, Rome, GA 30165,
1 total hour per month; 1 during securities trading hours,
Investment related,
No annual compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Ralph Lamar Barden's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ralph Lamar Barden'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 28, 2021 - Present
PARK AVENUE SECURITIES LLC
Office #1: 500 E 2nd Street, Rome, GA 30161RIA
BD
CRD#: 46173
ROME, GA
Current
January 28, 2021 - Present
PARK AVENUE SECURITIES LLC
Office #1: 500 E 2nd Street, Rome, GA 30161RIA
BD
CRD#: 46173
ROME, GA
Past
December 4, 2014 - January 29, 2021
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
ROME, GA
Past
October 24, 2014 - January 29, 2021
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
ROME, GA
Past
May 13, 2003 - December 31, 2010
PEACHTREE PLANNING ADVISORS, INC.
RIA
CRD#: 112787
ROME, GA
Past
February 4, 2003 - October 29, 2014
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
ROME, GA
Past
May 3, 1999 - October 29, 2014
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
ROME, GA
Past
January 26, 1989 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
October 22, 1987 - December 31, 1988
BERACHAH SECURITIES CORPORATION
BD
CRD#: 16228
Past
October 22, 1986 - October 27, 1987
PFS INVESTMENTS INC.
BD
CRD#: 10111
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(2/10/2021)
IAR
Alabama(6/25/2021)
RR
Arizona(1/28/2021)
RR
California(6/18/2021)
RR
Delaware(3/15/2023)
RR
Florida(1/28/2021)
IAR
Florida(3/2/2021)
RR
Georgia(2/9/2021)
IAR
Georgia(2/9/2021)
RR
Illinois(1/28/2021)
RR
Kansas(6/13/2022)
RR
Kentucky(1/28/2021)
IAR
Kentucky(2/18/2021)
RR
Louisiana(1/28/2021)
RR
Mississippi(1/28/2021)
IAR
Mississippi(2/1/2021)
RR
Missouri(1/29/2021)
RR
Nevada(1/28/2021)
RR
New Jersey(1/28/2021)
IAR
New Jersey(3/11/2021)
RR
New York(1/28/2021)
IAR
New York(2/14/2021)
IAR
North Carolina(2/1/2021)
RR
North Carolina(2/18/2021)
RR
Ohio(1/28/2021)
IAR
Ohio(6/17/2021)
RR
Oklahoma(2/9/2021)
IAR
Oklahoma(2/9/2021)
RR
Pennsylvania(1/28/2021)
IAR
Pennsylvania(6/30/2021)
RR
South Carolina(2/25/2021)
IAR
South Carolina(6/14/2021)
RR
Tennessee(1/28/2021)
RR
Texas(1/28/2021)
IAR
Texas(1/28/2021)
RR
Virginia(1/28/2021)
Exams
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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#: 46173Rome, GA 30161TRUST BUT VERIFY
Monitor Ralph Barden
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
