Robert J. Zorn
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert James Zorn was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1989. Robert had worked at 11 firms and has passed the Series 63, Series 65, Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 29, 2018 - February 25, 2020
PARK AVENUE SECURITIES LLC
July 28, 2015 - December 16, 2016
EQUITABLE ADVISORS, LLC
March 27, 2015 - December 16, 2016
EQUITABLE ADVISORS, LLC
September 22, 2014 - March 19, 2015
SANTANDER SECURITIES LLC
September 19, 2014 - March 19, 2015
SANTANDER SECURITIES LLC
February 22, 2013 - April 3, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
February 4, 2013 - April 3, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
July 24, 2008 - December 22, 2008
LPL FINANCIAL LLC
July 17, 2008 - December 22, 2008
LPL FINANCIAL LLC
November 2, 2007 - March 7, 2008
INVESTMENT PROFESSIONALS, INC.
October 31, 2007 - March 7, 2008
INVESTMENT PROFESSIONALS, INC.
April 30, 2007 - August 10, 2007
CETERA WEALTH SERVICES, LLC
April 9, 2007 - August 10, 2007
CETERA WEALTH SERVICES, LLC
May 8, 2006 - April 5, 2007
LPL FINANCIAL LLC
June 3, 2005 - April 5, 2007
LPL FINANCIAL LLC
January 23, 1997 - March 13, 1997
KAUFMAN BROS., L.P.
February 7, 1996 - August 13, 1996
OPPENHEIMER & CO. INC.
August 10, 1993 - November 20, 1995
PUNK, ZIEGEL & COMPANY, L.P.
February 14, 1989 - April 20, 1993
IDS LIFE INSURANCE COMPANY
February 14, 1989 - April 20, 1993
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
PARK AVENUE SECURITIES LLC
CRD#: 46173 / SEC#: 801-58108, 8-51324
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PARK AVENUE SECURITIES LLC
CRD#: 46173 / SEC#: 801-58108, 8-51324
Contact information
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.
