FK
Fred R. Kettler
PARK AVENUE SECURITIES LLC
Venice, CA
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CRD#: 1664996
FK
Professional summary
Fred Rick Kettler, who also goes by Fred R Kettler, Fred Kettler, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Venice, California.
Fred is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Fred has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Fred R Kettler | Fred Kettler
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. Fixed Insurance Sales-Sale of fixed insurance products other than those offered through Guardian, Start: 10/06/1999, Address; 1560 S Dixie Highway, Suite 207 Coral Gables, FL 33146, 40 bus hrs per month, Investment related, >10% annual compensation, 2. Kettler & Associates, Inc-Corporation I use for managing and administration of my business,. Start: 06/19/2019, Address: 1560 SOUTH DIXIE HWY, SUITE 207; CORAL GABLES, FL 33146, 1 non bus hr per month, Not investment related,
CRS (Client Relationship Summary) - RIA
Click below to view Fred Rick Kettler's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Fred Rick Kettler'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
February 23, 2017 - Present
PARK AVENUE SECURITIES LLC
RIA
BD
CRD#: 46173
Venice, CA
Current
January 14, 2017 - Present
PARK AVENUE SECURITIES LLC
Office #1: 14021 Metropolis Ave., Fort Myers, FL 33912RIA
BD
CRD#: 46173
Fort Myers, FL
Past
January 28, 2016 - October 18, 2016
VISIONARY WEALTH ADVISORS, LLC
RIA
CRD#: 169610
Coral Gables, FL
Past
July 6, 2010 - January 8, 2016
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
MIAMI, FL
Past
December 19, 2003 - December 31, 2009
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
CORAL GABLES, FL
Past
September 10, 1997 - December 31, 2003
SIGMA FINANCIAL CORPORATION
BD
CRD#: 14303
ANN ARBOR, MI
Past
February 24, 1997 - September 12, 1997
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
Past
July 25, 1995 - February 20, 1997
SIGMA FINANCIAL CORPORATION
BD
CRD#: 14303
ANN ARBOR, MI
Past
June 7, 1994 - July 31, 1995
FFP SECURITIES, INC.
BD
CRD#: 16337
CHESTERFIELD, MO
Past
October 2, 1993 - May 24, 1994
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
June 12, 1987 - December 16, 1991
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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(5/9/2022)
IAR
California(5/9/2022)
RR
Colorado(4/26/2018)
IAR
Colorado(4/26/2018)
RR
Connecticut(5/28/2020)
RR
Florida(2/23/2017)
IAR
Florida(2/23/2017)
RR
Georgia(10/17/2025)
IAR
Georgia(10/17/2025)
RR
Illinois(8/30/2024)
IAR
Illinois(8/30/2024)
IAR
Maryland(1/29/2025)
RR
Maryland(2/5/2025)
IAR
North Carolina(4/6/2021)
RR
North Carolina(4/7/2021)
RR
Ohio(9/23/2024)
IAR
Ohio(9/23/2024)
RR
Oregon(5/22/2020)
IAR
Oregon(5/22/2020)
RR
Pennsylvania(3/7/2017)
IAR
Pennsylvania(3/7/2017)
RR
Puerto Rico(3/20/2017)
IAR
Puerto Rico(11/15/2017)
RR
South Carolina(9/17/2018)
IAR
South Carolina(10/3/2018)
RR
Texas(8/19/2020)
IAR
Texas(8/19/2020)
RR
Wyoming(6/24/2019)
IAR
Wyoming(7/1/2019)
Exams
State Security Law Exam
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)
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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.
