JN
John M. Neumann
PARK AVENUE SECURITIES LLC
Freehold, NJ 07728
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CRD#: 1871045
JN
Professional summary
John Michael Neumann, CFP®, who also goes by John Neumann, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Freehold, New Jersey.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. John has worked at 14 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John Neumann
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) - RIA
Click below to view John Michael Neumann's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Michael Neumann'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®
Experience
Current
March 2, 2022 - Present
PARK AVENUE SECURITIES LLC
Office #1: 38 Scarlet Dr, Freehold, NJ 07728Office #2: 10 Hudson Yards, New York, NY 10001RIA
BD
CRD#: 46173
Freehold, NJ
Current
March 2, 2022 - Present
PARK AVENUE SECURITIES LLC
Office #1: 10 Hudson Yards, New York, NY 10001RIA
BD
CRD#: 46173
New York, NY
Past
May 21, 2019 - February 8, 2022
P.J. ROBB VARIABLE, LLC
BD
CRD#: 38339
MEMPHIS, TN
Past
January 23, 2015 - April 5, 2019
MML STRATEGIC DISTRIBUTORS, LLC
BD
CRD#: 168638
SPRINGFIELD, MA
Past
September 29, 2009 - April 5, 2019
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
February 20, 2008 - April 21, 2010
MML DISTRIBUTORS, LLC
BD
CRD#: 38030
SPRINGFIELD, MA
Past
November 27, 2007 - February 1, 2008
QUASAR DISTRIBUTORS, LLC
BD
CRD#: 103848
PORTLAND, ME
Past
April 14, 2004 - January 3, 2007
TRANSAMERICA CAPITAL, LLC
BD
CRD#: 8217
FREEHOLD, NJ
Past
July 12, 2000 - April 16, 2004
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
Past
August 1, 1997 - June 30, 2000
FIRST UNION BROKERAGE SERVICES, INC.
BD
CRD#: 8112
CHARLOTTE, NC
Past
February 28, 1997 - May 9, 1997
HSBC BROKERAGE (USA) INC.
BD
CRD#: 6956
NEW YORK, NY
Past
April 5, 1994 - February 28, 1997
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
Past
January 5, 1993 - April 5, 1994
KEY INVESTMENTS INC.
BD
CRD#: 15873
CLEVELAND, OH
Past
April 10, 1991 - December 31, 1992
INDEPENDENT FINANCIAL SECURITIES, INC.
BD
CRD#: 19924
Past
September 20, 1988 - September 13, 1990
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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
Connecticut(3/2/2022)
IAR
Connecticut(3/2/2022)
RR
Delaware(3/2/2022)
IAR
Delaware(3/2/2022)
RR
District of Columbia(3/2/2022)
IAR
District of Columbia(3/21/2022)
RR
Florida(3/2/2022)
IAR
Florida(3/3/2022)
RR
Maine(3/2/2022)
IAR
Maine(3/2/2022)
RR
Maryland(3/2/2022)
IAR
Maryland(3/2/2022)
RR
Massachusetts(3/2/2022)
RR
New Hampshire(3/2/2022)
IAR
New Hampshire(3/2/2022)
RR
New Jersey(3/2/2022)
IAR
New Jersey(3/2/2022)
RR
New York(3/2/2022)
IAR
New York(3/2/2022)
RR
Pennsylvania(3/2/2022)
IAR
Pennsylvania(3/2/2022)
RR
Rhode Island(3/2/2022)
IAR
Rhode Island(3/2/2022)
RR
Virginia(3/2/2022)
IAR
Virginia(3/2/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
