JJ
James E. Joly
PARK AVENUE SECURITIES LLC
CRANSTON, RI 02920
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CRD#: 2193463
JJ
Professional summary
James E Joly, who also goes by James Ernest Joly, Jim Joly, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Cranston, Rhode Island.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. James has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Ernest Joly | Jim Joly
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. Greenwich Bay Wealth Management, LLC: Sole owner LLC,
Start Date: 06/01/2018,
Address: 2000 Chapel View Blvd Suite 215 Cranston, RI 02920,
160 total hours/month; 40 during securities trading hours,
Investment Related,
>10% Annual Compensation,
2. Good N' You!-Band,
Start Date: 04/01/2017,
Address: N/A,
4 total hours per month; 0 during securities trading hours,
Not Investment Related,
<10% Annual Compensation,
CRS (Client Relationship Summary) - RIA
Click below to view James E Joly's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James E Joly'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
November 12, 2024 - Present
PARK AVENUE SECURITIES LLC
Office #1: 2000 Chapel View Blvd Suite 215, Cranston, RI 02920RIA
BD
CRD#: 46173
CRANSTON, RI
Current
October 28, 2024 - Present
PARK AVENUE SECURITIES LLC
Office #1: 2000 Chapel View Blvd Suite 215, Cranston, RI 02920RIA
BD
CRD#: 46173
CRANSTON, RI
Past
December 9, 2022 - November 5, 2024
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
East Greenwich, RI
Past
December 9, 2022 - November 5, 2024
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
East Greenwich, RI
Past
July 28, 2018 - December 9, 2022
CANTELLA & CO., INC.
BD
CRD#: 13905
East Greenwich, RI
Past
July 27, 2018 - June 1, 2023
CANTELLA & CO., INC.
RIA
CRD#: 13905
East Greenwich, RI
Past
September 19, 2017 - July 17, 2018
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
East Greenwich, RI
Past
August 30, 2017 - July 17, 2018
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
East Greenwich, RI
Past
June 2, 2017 - June 30, 2017
MORGAN STANLEY
RIA
CRD#: 149777
NEWPORT, RI
Past
June 2, 2017 - June 30, 2017
MORGAN STANLEY
BD
CRD#: 149777
NEWPORT, RI
Past
January 1, 1997 - June 12, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
EAST GREENWICH, RI
Past
July 24, 1996 - June 12, 2017
LPL FINANCIAL LLC
BD
CRD#: 6413
EAST GREENWICH, RI
Past
November 15, 1991 - July 26, 1996
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
EDISON, NJ
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(10/29/2024)
IAR
California(11/27/2024)
RR
Connecticut(10/29/2024)
IAR
Connecticut(11/27/2024)
RR
Florida(11/22/2024)
IAR
Florida(1/9/2025)
RR
Indiana(11/12/2024)
IAR
Indiana(12/2/2024)
RR
Massachusetts(12/16/2024)
RR
Pennsylvania(11/14/2024)
IAR
Pennsylvania(11/27/2024)
RR
Rhode Island(11/12/2024)
IAR
Rhode Island(11/12/2024)
RR
Texas(10/28/2024)
IAR
Texas(11/27/2024)
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)
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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#: 46173Cranston, RI 02920TRUST BUT VERIFY
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