JH
Jeffrey D. Howard
PARK AVENUE SECURITIES LLC
Charlotte, NC 28210
Some features on this profile are disabled
CRD#: 2015174
JH
Professional summary
Jeffrey D Howard, ChFC®, who also goes by Jeff Howard, Jeffrey Dennis Howard, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Charlotte, North Carolina.
Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Jeffrey has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jeff Howard | Jeffrey Dennis Howard
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. RENTAL PROPERTY-Personally own property that produces rental income, Start: 01/01/1973, Address; 9812 Chatman Oaks Trail Charlotte, NC 28210, 10 non bus hrs per month, Investment related, >10% annual compensation, 2. Insurance other than Guardian, Start: 01/12/2015, Address: 6115 Park South Drive Ste 200 Charlotte NC 28210, 40 total hours per month; 20 hours during securities trading, Investment related, Greater than 10% annual compensation, 3. Trustee of the Jeffrey D. Howard Revocable trust, Start: 01/23/2018, Address: 9812 Chatham Oaks Trail Charlotte, NC 28210, 0 hrs per month, Investment related, 4. JDH INVESTMENTS, LLC LLC holds real estate investment property only. Start: 01/01/2018 Address: 9812 Chatham Oaks Trail Charlotte, NC 20210 10 bus hrs per month Investment related >10% annual compensation 5. NJ, LLC-Part owner of LLC. This holds investment property and real estate. For liability protection purposes, Start: 01/01/2018, Address: 4812 Chatham Oaks Tr Charlotte, NC 28210, 10 bus hrs per month, Investment related, >10% annual compensation, 6. CJN, LLC LLC which holds investment property and investment real estate, Start: 01/01/2015, Address: 4812 Chatham Oaks Trail Charlotte, NC 28210, 10 bus hrs per month, Investment related, >10% annual compensation, 7. Mary Howard Revocable Trust-Trustee, Start: 11/11/2016, Address: 9812 Chatham Oaks Trail Charlotte, NC 28210, 1 bus hr per month, Not investment related,
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey D Howard's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey D Howard'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
April 1, 2004 - Present
PARK AVENUE SECURITIES LLC
Office #1: 6115 Park South Drive Suite 200, Charlotte, NC 28210RIA
BD
CRD#: 46173
Charlotte, NC
Current
May 3, 1999 - Present
PARK AVENUE SECURITIES LLC
Office #1: 6115 Park South Drive Suite 200, Charlotte, NC 28210RIA
BD
CRD#: 46173
Charlotte, NC
Past
December 31, 2001 - April 1, 2004
C.P. ADVISORY SERVICES
RIA
CRD#: 118052
CHARLOTTE, NC
Past
February 5, 1990 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
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
Alaska(12/7/2006)
IAR
Alaska(12/12/2006)
RR
Arizona(8/4/2025)
IAR
Arizona(8/4/2025)
IAR
California(9/10/2021)
RR
California(9/13/2021)
RR
Colorado(12/10/2015)
IAR
Colorado(12/10/2015)
RR
District of Columbia(3/15/2011)
IAR
District of Columbia(3/24/2011)
RR
Florida(5/3/1999)
IAR
Florida(8/13/2004)
RR
Georgia(5/3/1999)
IAR
Georgia(4/8/2004)
RR
Illinois(7/16/2021)
IAR
Illinois(7/16/2021)
RR
Indiana(12/12/2003)
IAR
Indiana(5/26/2006)
RR
Maryland(11/2/2006)
IAR
Maryland(2/20/2015)
RR
Massachusetts(9/21/2011)
IAR
Massachusetts(4/13/2015)
RR
Michigan(5/3/1999)
IAR
Michigan(8/14/2013)
RR
Mississippi(6/17/2019)
IAR
Mississippi(6/17/2019)
RR
Nevada(9/9/2003)
IAR
Nevada(5/18/2012)
RR
New Jersey(6/6/2023)
IAR
New Jersey(6/6/2023)
RR
New York(11/5/2013)
IAR
New York(4/16/2021)
RR
North Carolina(5/3/1999)
IAR
North Carolina(4/1/2004)
RR
Ohio(5/3/1999)
IAR
Ohio(6/25/2004)
RR
Oregon(3/21/2013)
RR
Pennsylvania(5/3/1999)
IAR
Pennsylvania(10/26/2016)
RR
Rhode Island(4/12/2006)
RR
South Carolina(5/3/1999)
IAR
South Carolina(4/2/2004)
RR
Tennessee(1/8/2002)
RR
Vermont(1/29/2025)
IAR
Vermont(1/29/2025)
RR
Virginia(3/17/2005)
IAR
Virginia(3/23/2005)
RR
Washington(11/1/2022)
IAR
Washington(11/1/2022)
RR
West Virginia(10/9/2018)
IAR
West Virginia(10/12/2018)
RR
Wisconsin(9/20/2022)
IAR
Wisconsin(9/20/2022)
RR
Wyoming(12/5/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
