JR
Jae M. Roe
PARK AVENUE SECURITIES LLC
IRVINE, CA 92606
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CRD#: 1836989
JR
Professional summary
Jae M Roe, who also goes by Jae Min Roe, is a registered financial professional currently at PARK AVENUE SECURITIES LLC located in Irvine, California.
Jae is registered as a RR (Registered Representative) and started their career in finance in 1988. Jae has worked at 6 firms and has passed the Series 63, SIE, Series 6 and Series 22 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jae Min Roe
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Jae M Roe'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
July 26, 2011 - Present
PARK AVENUE SECURITIES LLC
Office #1: 2875 Michelle Drive Suite 110, Irvine, CA 92606RIA
BD
CRD#: 46173
IRVINE, CA
Past
March 12, 2009 - July 1, 2011
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
LAKE SUCCESS, NY
Past
August 31, 2005 - January 23, 2009
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Past
May 8, 2002 - August 3, 2005
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
Past
August 23, 2001 - April 25, 2002
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
August 23, 2001 - April 25, 2002
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
June 22, 1988 - September 5, 2001
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
Past
June 6, 1988 - September 5, 2001
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
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.
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(9/19/2011)
RR
Connecticut(1/22/2024)
RR
Florida(10/10/2011)
RR
Indiana(1/23/2024)
RR
New Jersey(1/22/2024)
RR
New York(7/26/2011)
RR
Pennsylvania(1/22/2024)
Exams
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.
