JB
Jonathan J. Berube
PARK AVENUE SECURITIES LLC
BUFFALO, NY 14202
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CRD#: 2004124
JB
Professional summary
Jonathan J Berube, CIMA®, who also goes by Jonathan Jackson Berube, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Buffalo, New York.
Jonathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Jonathan has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10, Series 9, Series 53, Series 24, Series 8 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jonathan Jackson Berube
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. Derbyshire LLC-Manager of the LLC, I am listed to ensure orderly succession in the event my wife is unable to act.,
Start: 08/19/2019,
Address: 905 Sturgeon Point Rd, Derby NY 14047,
2 non bus hrs. per month,
Not investment related,
2) City Centre Condominium Board of Directors,
Start: 01/01/2023,
Address: 600 Main St Buffalo, NY 14202,
2 total hours per month; 1 during securities trading hours,
Not investment related,
No annual compensation,
3)Insurance other than Guardian,
Start: 08/01/2025,
Address: 600 Delaware Ave, Buffalo NY 14202,
0 total hours per month,
Investment related,
Less than 10% annual compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Jonathan J Berube's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jonathan J Berube'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 16, 2020 - Present
PARK AVENUE SECURITIES LLC
Office #1: 600 Delaware Avenue, Buffalo, NY 14202RIA
BD
CRD#: 46173
BUFFALO, NY
Current
January 29, 2020 - Present
PARK AVENUE SECURITIES LLC
Office #1: 600 Delaware Avenue, Buffalo, NY 14202RIA
BD
CRD#: 46173
BUFFALO, NY
Past
August 3, 2011 - December 5, 2019
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
BUFFALO, NY
Past
May 11, 2001 - December 5, 2019
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
BUFFALO, NY
Past
January 18, 1991 - May 17, 2001
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
DETROIT, MI
Past
January 25, 1990 - January 9, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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
California(10/5/2021)
IAR
California(10/5/2021)
RR
Colorado(3/31/2020)
IAR
Colorado(3/31/2020)
IAR
Connecticut(1/28/2020)
RR
Connecticut(2/3/2020)
RR
District of Columbia(2/4/2020)
IAR
District of Columbia(2/26/2020)
RR
Florida(6/15/2020)
IAR
Florida(6/15/2020)
IAR
Georgia(1/17/2020)
RR
Georgia(1/30/2020)
IAR
Maine(1/29/2020)
RR
Maine(1/31/2020)
RR
Massachusetts(3/8/2021)
IAR
Massachusetts(3/16/2021)
RR
New Jersey(3/7/2025)
IAR
New Jersey(3/7/2025)
RR
New York(1/31/2020)
IAR
New York(4/16/2021)
RR
North Carolina(12/9/2022)
IAR
North Carolina(12/9/2022)
RR
Rhode Island(3/30/2020)
IAR
Rhode Island(3/30/2020)
RR
Tennessee(2/26/2020)
IAR
Texas(1/16/2020)
RR
Texas(2/14/2020)
IAR
Virginia(1/18/2020)
RR
Virginia(2/3/2020)
RR
Wisconsin(10/15/2025)
IAR
Wisconsin(10/15/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 9/4/1992
General Securities Sales Supervisor Examination (Options Module & General Module)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.
Company Information
PARK AVENUE SECURITIES LLC
CRD#: 46173Buffalo, NY 14202TRUST BUT VERIFY
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