RD
Ronald L. Durham
PARK AVENUE SECURITIES LLC
Lexington, KY 40507
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CRD#: 2285550
RD
Professional summary
Ronald Leo Durham JR., who also goes by Ronald Leo Durham Jr, Ronald Leo Durham, Ronald Leo Jr Durham, Ron Durham, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Lexington, Kentucky.
Ronald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Ronald has worked at 8 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ronald Leo Durham Jr | Ronald Leo Durham | Ronald Leo Jr Durham | Ron Durham
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. Life Insurance sales
Sales and Service of Pacific Life Insurance products
Start: 05/10/1991
Address: 625 Eden Park Drive Cincinnati OH
4 bus hrs per month
Investment related
CRS (Client Relationship Summary) - RIA
Click below to view Ronald Leo Durham JR.'s CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ronald Leo Durham JR.'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
May 31, 2024 - Present
PARK AVENUE SECURITIES LLC
Office #1: 301 E Main St Ste 1000, Lexington, KY 40507Office #2: 9300 Shelbyville Road Suite 320, Louisville, KY 40222RIA
BD
CRD#: 46173
Lexington, KY
Current
May 22, 2019 - Present
PARK AVENUE SECURITIES LLC
Office #1: 301 E Main St Ste 1000, Lexington, KY 40507Office #2: 9300 Shelbyville Road Suite 320, Louisville, KY 40222RIA
BD
CRD#: 46173
Lexington, KY
Past
May 30, 2008 - February 25, 2009
OSAIC FS, INC.
BD
CRD#: 3870
LOUISVILLE, KY
Past
July 20, 2007 - December 21, 2007
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
FRANKFORT, KY
Past
April 5, 2006 - November 17, 2006
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
FORT LAUDERDALE, FL
Past
October 26, 2005 - March 29, 2006
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
GEORGETOWN, KY
Past
October 6, 2000 - June 28, 2005
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
Past
February 16, 1999 - October 11, 2000
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
December 14, 1992 - October 11, 2000
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
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
Kentucky(6/11/2019)
IAR
Kentucky(5/31/2024)
RR
North Dakota(10/22/2020)
RR
Tennessee(3/27/2025)
RR
Washington(11/2/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 5/22/2019
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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.
Company Information
PARK AVENUE SECURITIES LLC
CRD#: 46173Lexington, KY 40507TRUST BUT VERIFY
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