BR
Brett C. Roth
PARK AVENUE SECURITIES LLC
Dayton, OH 45459
Some features on this profile are disabled
CRD#: 2195393
BR
Professional summary
Brett Christian Roth, CFP®, who also goes by Bret Christian Roth, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Dayton, Ohio.
Brett is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Brett has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 10, Series 9, Series 26 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bret Christian Roth
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Brett Christian Roth's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brett Christian Roth'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®
CFP®
Start date: 2004
Experience
Current
June 13, 2022 - Present
PARK AVENUE SECURITIES LLC
Office #1: 7755 Paragon Road Suite 107, Dayton, OH 45459Office #2: 9100 West Chester Towne Centre Dr Suite 355, West Chester, OH 45069RIA
BD
CRD#: 46173
Dayton, OH
Current
June 13, 2022 - Present
PARK AVENUE SECURITIES LLC
Office #1: 7755 Paragon Road Suite 107, Dayton, OH 45459Office #2: 9100 West Chester Towne Centre Dr Suite 355, West Chester, OH 45069RIA
BD
CRD#: 46173
Dayton, OH
Past
December 11, 2018 - May 23, 2022
W&S BROKERAGE SERVICES, INC.
RIA
CRD#: 8099
CINCINNATI, OH
Past
October 6, 2016 - May 23, 2022
W&S BROKERAGE SERVICES, INC.
BD
CRD#: 8099
CINCINNATI, OH
Past
August 7, 2006 - March 28, 2007
FIDELITY PERSONAL TRUST COMPANY, FSB
RIA
CRD#: 109516
BLUE ASH, OH
Past
January 14, 2003 - April 6, 2016
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
COVINGTON, KY
Past
December 4, 1991 - April 4, 2016
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
COVINGTON, KY
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
Ohio(6/13/2022)
IAR
Ohio(6/13/2022)
RR
Texas(3/31/2025)
IAR
Texas(3/31/2025)
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
RR
Series 8
Date: 11/19/1996
General Securities Sales Supervisor Examination (Options Module & General Module)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#: 46173Dayton, OH 45459TRUST BUT VERIFY
Monitor Brett Roth
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
