JD
James W. Dargusch
PARK AVENUE SECURITIES LLC
Daytona Beach, FL
Some features on this profile are disabled
CRD#: 2250551
JD
Professional summary
James W Dargusch, who also goes by James William Dargusch, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Daytona Beach, Florida.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. James has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James William Dargusch
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. Planned Giving Consultants, LLC/Founder/President-help examining donor base and create a process in which to identify target groups and the most efficient way of accessing and approaching them to secure planned gifts,.
Start: 06/16/2007,
Address: 18 Upton Way Sewell, NJ 08080,
Hrs per month - tot/bus: 10/6,
Not investment related,
2. Northern Belle Properties LLC-Purchase of rental properties. Renovate if necessary. Rent,
Start: 05/16/2012,
Address: 18 Upton Way Sewell, NJ 08080,
6 non bus hrs per month,
Investment related,
Less than 10% annual compensation,
3. Tribal Hearts, LLC-Creating an LLC for an interest in a start up Wood Processing Plant in the Philippines,.
Start: 12/30/2017,
Address: 18 Upton Way Sewell, NJ 08080,
8 non bus hrs per month,
Investment related,
4) March of Dimes Philadelphia Market Board/Member,
Start: 01/01/2019,
Address: N/A,
5 total hours per month; 1 during securities trading hours,
Not investment related,
No annual compensation,
5. Humanility/Founding Board Member-Founding Board Member,
Start: 01/01/2019,
Address: N/A,
1 bus hr per month,
Not investment related,
6) Jefferson Health Care Foundation-Board Member,
Start: 01/01/2019,
Address: N/A,
1 total hours per month; 1 during securities trading hours,
Not investment related,
No annual compensation,
7. Green Sky Properties, LLC-This LLC was created to hold my property that from which I run my PAS/Guardian business,.
Start: 01/01/2019,
Address: 651 Route 73 North Suite 401 Marlton, NJ 08053,
0 hrs per month,
Investment related,
8) Pavilions at Greentree Condo Association-Member Condo Board,
Start: 01/01/2019,
Address: 2301 Evesham Road, Suite 702 Voorhees, NJ 08043,
1 total hours per month; 1 during securities trading hours,
Not investment related,
No annual compensation,
9) Dargusch Family Foundation-Trustee,
Start: 11/01/2004,
Address: 6207 Riverfront Drive Palmyra, NJ 08065,
.5 total hours per month; 0 during securities trading hours,
Not investment related,
No annual compensation,
10) James Dargusch-other life insurance companies when it is more advantageous for the client
Start: 01/01/2020
Address: 6207 Riverfront Drive Palmyra, NJ 08065
2 total hours per month, 2 during securities trading hours
Investment related
Less than 10% annual compensation
11) Power of Attorney for my Wife,
Start: 01/01/2020,
Address: 6207 Riverfront Drive Palmyra, NJ 08065,
0 total hours per month,
Not investment related,
No annual compensation,
CRS (Client Relationship Summary) - RIA
Click below to view James W Dargusch's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James W Dargusch'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
March 2, 2007 - Present
PARK AVENUE SECURITIES LLC
Office #2: 651 Route 73 N Suite 401, Marlton, NJ 08053RIA
BD
CRD#: 46173
Daytona Beach, FL
Current
February 26, 2007 - Present
PARK AVENUE SECURITIES LLC
Office #1: 651 Route 73 N Suite 401, Marlton, NJ 08053RIA
BD
CRD#: 46173
Marlton, NJ
Past
May 17, 2004 - February 2, 2007
OSAIC FA, INC.
RIA
CRD#: 3978
CHERRY HILL, NJ
Past
February 3, 2003 - April 5, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
June 1, 1998 - February 2, 2007
OSAIC FA, INC.
BD
CRD#: 3978
CHERRY HILL, NJ
Past
August 5, 1992 - June 1, 1998
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
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(2/10/2009)
IAR
California(6/22/2020)
RR
Florida(2/26/2007)
IAR
Florida(3/18/2008)
RR
Georgia(3/23/2016)
IAR
Georgia(1/11/2017)
RR
Illinois(5/22/2015)
RR
Michigan(3/1/2007)
IAR
Michigan(11/20/2009)
RR
New Jersey(2/26/2007)
IAR
New Jersey(3/2/2007)
RR
Pennsylvania(3/1/2007)
IAR
Pennsylvania(4/7/2011)
RR
South Carolina(11/13/2023)
RR
Virgin Islands(7/19/2019)
IAR
Virgin Islands(7/26/2019)
RR
Virginia(2/12/2013)
IAR
Virginia(2/26/2013)
RR
Wisconsin(7/1/2009)
IAR
Wisconsin(4/3/2015)
RR
Wyoming(1/28/2019)
IAR
Wyoming(1/29/2019)
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.
