JP
Jeffrey L. Pawlowski
PARK AVENUE SECURITIES LLC
Lake Oswego, OR 97035
Some features on this profile are disabled
CRD#: 1584891
JP
Professional summary
Jeffrey L Pawlowski, who also goes by Jeff Pawlowski, Jeffrey Linn Pawlowski, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Lake Oswego, Oregon.
Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Jeffrey has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 10, Series 9 and Series 12 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jeff Pawlowski | Jeffrey Linn Pawlowski
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. Broad River Benefits, LLC-Marketing firm for Group Medical, Dental, Vision, Disability, Long-Term Care and Individual Medical Insurance,
Start: 06/15/2013,
Address: 5 Centerpointe Drive, Suite 150 Lake Oswego, OR 97035,
4 total hours per month, 2 during securities trading hours,
Less than 10% annual compensation,
Not investment related,
2. Broad River, LLC-The entity has been established as a DBA for my Guardian General Agency.
Start: 03/01/2013,
Address: 9629 SW 18th Place Portland, OR 97219,
1 total hour per month, 1 during securities trading hours,
More than 10% annual compensation,
Investment related,
3. Outside Insurance Sales-Sales of fixed products (life, disability insurance, etc.) where Guardian is not a solution.,
Start: 10/16/2009,
Address:9629 SW 18th Place Portland, OR 97219,
0 hrs per month,
Investment related,
4. Liberty ID-Helping clients get protection for identity theft,.
Start: 05/01/2017,
Address: 5 Centerpointe Drive, Suite 150 Lake Oswego, OR 97035,
1 bus hr per month,
not investment related,
5. WestPac Wealth Partners, LLC-Oregon-The entity has been established as a DBA for my Guardian General Agency,.
Start: 02/01/2017,
Address: 5 Centerpointe Drive, Suite 150 Portland, OR 97035,
100 total hours per month, 100 during securities trading hours,
More than 10% annual compensation,
Investment related,
6. WestPac Wealth Partners LLC- Montana-The entity has been established as a DBA for the Montana Guardian General Agency.
Start: 01/01/2019,
Address: 1014 South Ave West, Suite A Missoula, Montana 59801,
80 total hours per month, 80 during securities trading hours,
More than 10% annual compensation,
Investment related,
7. The Heatherington Foundation for Innovation & Education in Health Care, Inc,-Board Member,
Start: 02/01/2019,
Address: 2121 SW Broadway, Suite 115, Portland, OR 97201,
1 total hour per month, 1 during securities trading hours,
Not investment related
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey L Pawlowski's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey L Pawlowski'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
October 20, 2009 - Present
PARK AVENUE SECURITIES LLC
Office #1: 5 Centerpointe Drive Suite 220, Lake Oswego, OR 97035RIA
BD
CRD#: 46173
Lake Oswego, OR
Current
October 16, 2009 - Present
PARK AVENUE SECURITIES LLC
Office #1: 5 Centerpointe Drive Suite 220, Lake Oswego, OR 97035RIA
BD
CRD#: 46173
Lake Oswego, OR
Past
January 31, 2003 - September 3, 2009
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
PORTLAND, OR
Past
February 22, 1990 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
September 6, 1988 - September 3, 2009
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
PORTLAND, OR
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(4/3/2019)
RR
Alaska(10/25/2023)
RR
Arizona(2/14/2011)
RR
California(2/4/2011)
IAR
California(4/20/2012)
RR
Colorado(1/29/2020)
RR
Florida(1/8/2019)
RR
Georgia(12/11/2020)
RR
Hawaii(1/6/2021)
RR
Idaho(10/16/2009)
IAR
Idaho(10/21/2009)
RR
Illinois(5/22/2019)
IAR
Illinois(6/8/2023)
RR
Indiana(1/7/2019)
RR
Iowa(2/11/2019)
RR
Kansas(3/19/2021)
RR
Maine(4/4/2019)
RR
Maryland(3/27/2014)
RR
Massachusetts(7/16/2020)
RR
Minnesota(7/28/2017)
RR
Mississippi(4/4/2019)
RR
Missouri(1/14/2022)
RR
Montana(1/7/2019)
IAR
Montana(2/25/2021)
IAR
Nevada(11/6/2020)
RR
Nevada(11/9/2020)
RR
New York(12/20/2018)
IAR
New York(4/16/2021)
RR
North Carolina(6/8/2023)
RR
Ohio(1/7/2019)
RR
Oklahoma(1/28/2020)
IAR
Oklahoma(9/21/2021)
RR
Oregon(10/16/2009)
IAR
Oregon(10/20/2009)
RR
Pennsylvania(1/10/2019)
RR
Tennessee(2/21/2022)
RR
Texas(7/10/2019)
RR
Utah(1/28/2020)
RR
Virginia(1/4/2019)
RR
Washington(10/16/2009)
IAR
Washington(10/20/2009)
RR
Wisconsin(6/24/2021)
RR
Wyoming(3/16/2021)
IAR
Wyoming(2/2/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 12
Date: 8/18/1997
NYSE Branch Manager ExaminationSRO 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.
