RR
Robert B. Rosin
PARK AVENUE SECURITIES LLC
FREEHOLD, NJ
Some features on this profile are disabled
CRD#: 2142964
RR
Professional summary
Robert B Rosin, who also goes by Robert Brian Rosin, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Freehold, New Jersey.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Robert has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Robert Brian Rosin
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. Rosin Insurance and Financial Services, LLC
Corporation I use for my insurance practice.
Start: 02/01/2014
Address: 27 Rustic Way Freehold, NJ 07728
Hrs per month - tot/bus: 200/80
Investment related
>10% annual compensation
2. 1-3-5 West Front Street, LLC
Property owned
Start: 11/03/2009
Address: 43 West Front Street
Keyport, NJ
0 hrs per month
Investment related
3. HR Conncet Insurance and Financial Services
My company that I use for my employee benefit business.
Start: 02/01/2005
Address: 27 Rustic Way
Freehold, NJ
5 non bus hrs per month
Investment related
>10% annual compensation
CRS (Client Relationship Summary) - RIA
Click below to view Robert B Rosin's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert B Rosin'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
April 16, 2019 - Present
PARK AVENUE SECURITIES LLC
RIA
BD
CRD#: 46173
FREEHOLD, NJ
Current
April 15, 2019 - Present
PARK AVENUE SECURITIES LLC
Office #1: 50 Tice Blvd Suite 280, Woodcliff Lake, NJ 07677RIA
BD
CRD#: 46173
Woodcliff Lake, NJ
Past
March 31, 2017 - February 4, 2019
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
EDISON, NJ
Past
February 21, 2017 - February 1, 2019
NYLIFE SECURITIES LLC
BD
CRD#: 5167
FREEHOLD, NJ
Past
October 31, 2014 - December 27, 2016
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
BLOOMFIELD, NJ
Past
October 6, 2014 - December 27, 2016
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
BLOOMFIELD, NJ
Past
May 16, 2014 - September 29, 2014
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
EDISON, NJ
Past
April 11, 2014 - September 29, 2014
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
EDISON, NJ
Past
May 23, 2013 - March 4, 2014
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
BLOOMFIELD, NJ
Past
March 1, 2013 - March 4, 2014
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
BLOOMFIELD, NJ
Past
May 4, 2007 - February 7, 2013
TOWER SQUARE SECURITIES, INC.
RIA
CRD#: 833
KEYPORT, NJ
Past
February 8, 2007 - February 7, 2013
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
KEYPORT, NJ
Past
February 16, 2000 - December 31, 2006
THE CONCORD EQUITY GROUP, LLC
BD
CRD#: 14569
KEYPORT, NJ
Past
January 10, 1997 - March 3, 2000
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
NEWARK, DE
Past
March 26, 1996 - January 14, 1997
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
CONSHOHOCKEN, PA
Past
March 2, 1994 - March 27, 1996
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
NEWARK, DE
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
New Jersey(4/15/2019)
IAR
New Jersey(4/16/2019)
RR
New York(4/15/2019)
IAR
New York(4/16/2021)
RR
Washington(4/11/2022)
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.
