JP
Jeffrey D. Plummer
PARK AVENUE SECURITIES LLC
Saint Louis, MO 63141
Some features on this profile are disabled
CRD#: 1975731
JP
Professional summary
Jeffrey D Plummer, who also goes by Jeff Plummer, Jeffrey Dwight Plummer, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Saint Louis, Missouri.
Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Jeffrey has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jeff Plummer | Jeffrey Dwight Plummer
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. Insurance Other Than Guardian,
Start Date: 10/1/2023,
Address: 625 Maryville Centre #100, St. Louis, MO 63141,
1 total hour; 1 during securities trading hours,
Investment Related,
Less than 10% annual compensation,
2) Forsythe Findley Wealth Strategies LLC,
Start Date: 10/29/2025,
Nature: LLC needed for Guardian Group overrides to be paid out,
Address: 1604 Elk Fork Rd Wildwood MO 63038,
Duties: Owner,
1 total hour per month; 1 during securities trading hours,
Not Investment Related,
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey D Plummer's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey D Plummer'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
March 25, 2010 - Present
PARK AVENUE SECURITIES LLC
Office #1: 625 Maryville Centre Drive Suite 100, Saint Louis, MO 63141RIA
BD
CRD#: 46173
Saint Louis, MO
Current
December 16, 2009 - Present
PARK AVENUE SECURITIES LLC
Office #1: 625 Maryville Centre Drive Suite 100, Saint Louis, MO 63141RIA
BD
CRD#: 46173
Saint Louis, MO
Past
August 2, 2007 - December 4, 2009
SIGNATOR INVESTORS, INC.
RIA
CRD#: 468
CHARLOTTE, NC
Past
June 29, 2007 - December 4, 2009
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
CHARLOTTE, NC
Past
May 24, 2005 - July 3, 2007
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
CHARLOTTE, NC
Past
August 25, 2004 - July 3, 2007
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
CHARLOTTE, NC
Past
December 20, 1996 - September 2, 2004
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
Past
March 17, 1995 - December 20, 1996
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
NEWARK, DE
Past
February 15, 1995 - March 17, 1995
EQUITY SERVICES, INC.
BD
CRD#: 265
MONTPELIER, VT
Past
September 12, 1989 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
BD
CRD#: 2873
NEW YORK, NY
Past
September 12, 1989 - January 13, 1995
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, 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
Alabama(3/7/2024)
IAR
Alabama(3/7/2024)
RR
Arizona(7/22/2024)
RR
California(6/3/2022)
RR
Connecticut(10/25/2022)
RR
Florida(6/3/2022)
RR
Georgia(7/26/2024)
RR
Hawaii(2/24/2025)
RR
Idaho(5/21/2025)
RR
Illinois(6/3/2022)
RR
Indiana(9/27/2022)
RR
Kansas(5/1/2024)
IAR
Kansas(1/30/2025)
RR
Kentucky(9/19/2022)
RR
Louisiana(3/14/2024)
RR
Maine(3/3/2025)
RR
Massachusetts(2/26/2025)
RR
Michigan(11/27/2023)
RR
Missouri(1/13/2022)
IAR
Missouri(1/13/2022)
RR
Nebraska(7/9/2025)
RR
New Hampshire(7/18/2019)
IAR
New Hampshire(7/18/2019)
RR
New Jersey(1/13/2023)
RR
New Mexico(8/8/2023)
RR
New York(6/23/2023)
RR
North Carolina(12/16/2009)
IAR
North Carolina(3/25/2010)
RR
Ohio(3/3/2025)
RR
Oklahoma(1/25/2023)
RR
Oregon(2/29/2024)
IAR
Oregon(2/29/2024)
RR
Pennsylvania(6/23/2023)
RR
South Carolina(3/19/2024)
IAR
South Carolina(3/19/2024)
RR
Tennessee(9/19/2022)
RR
Texas(6/6/2023)
RR
Virginia(7/31/2024)
RR
Washington(11/9/2023)
RR
Wisconsin(2/16/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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#: 46173Saint Louis, MO 63141TRUST BUT VERIFY
Monitor Jeffrey Plummer
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
