RP
Richard A. Pope
PARK AVENUE SECURITIES LLC
Fort Myers, FL 33912
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CRD#: 1909895
RP
Professional summary
Richard A Pope, CFA, who also goes by Richard Alan Pope, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Fort Myers, Florida.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Richard has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Richard Alan Pope
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. Book Author - P.O.P.E. The Principles of Prosperity Economics Start: 08/10/2012 Address: 14021 Metropolis Ave Fort Myers, FL 33912 10 non bus hrs per month Not investment related 2. Outside Insurance life, DI, health, annuities, LTC Start: 01/01/1993 Address: 14021 Metropolis Ave Fort Myers, FL 33912 10 bus hrs per month Investment related 3. SG Investment Group LLC Real Estate LLC for real estate purchase and rentals. Start: 04/01/2005 Address: RR Fred Spear's office in Florida - Crestview, FL 32536 0 hrs per month Investment related 4. Applied Financial Group, LLC DBA Applied Financial Group - Inactive Start: 07/11/2014 Address: 250 Crossways Park Drive, Woodbury, NY 11797 0 hrs per month Investment related 5. Applied Financial Group, LLC Set-up for recently changed Florida Domicile Start: 03/24/2016 Address: 31 Ocean Reef Dr. C101-PMB 167 Key Largo, Fl 33037 20-30 bus hrs per month Not investment related 6. RSS Pension Group, LLC, Start Date: 2/28/2023, Address: 5924 Summerin Commons Way Suite 1205, Ft. Myers, FL 33907, 3 total hours per month; 3 during securities trading hours, Not Investment related, Less than 10% Annual Compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Richard A Pope's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard A Pope'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
January 31, 2014 - Present
PARK AVENUE SECURITIES LLC
Office #1: 14021 Metropolis Ave., Fort Myers, FL 33912RIA
BD
CRD#: 46173
Fort Myers, FL
Current
May 3, 1999 - Present
PARK AVENUE SECURITIES LLC
Office #1: 14021 Metropolis Ave., Fort Myers, FL 33912RIA
BD
CRD#: 46173
Fort Myers, FL
Past
March 24, 1994 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
January 13, 1992 - April 1, 1994
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
EL SEGUNDO, CA
Past
March 1, 1989 - October 10, 1990
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
WORCESTER, MA
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
Arizona(11/14/2012)
RR
California(4/11/2023)
RR
Colorado(5/23/2024)
RR
Connecticut(5/3/1999)
IAR
Connecticut(3/31/2015)
RR
Delaware(4/3/2015)
IAR
Delaware(4/24/2015)
RR
Florida(5/3/1999)
IAR
Florida(1/22/2015)
RR
Georgia(9/18/2017)
IAR
Georgia(9/18/2017)
RR
Hawaii(3/24/2023)
RR
Illinois(1/24/2024)
RR
Indiana(10/1/2020)
RR
Louisiana(4/24/2024)
RR
Maryland(3/30/2012)
RR
Massachusetts(5/3/1999)
RR
Minnesota(2/10/2012)
RR
Nevada(2/28/2011)
RR
New Hampshire(4/2/2024)
RR
New Jersey(5/3/1999)
IAR
New Jersey(1/31/2014)
RR
New York(5/3/1999)
IAR
New York(4/16/2021)
RR
North Carolina(1/8/2024)
RR
Pennsylvania(10/7/2018)
RR
Texas(11/4/2013)
IAR
Texas(4/17/2015)
RR
Virginia(10/1/2018)
RR
Washington(4/8/2022)
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.
Company Information
PARK AVENUE SECURITIES LLC
CRD#: 46173Fort Myers, FL 33912TRUST BUT VERIFY
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