RH
Robert A. Holmes
PARK AVENUE SECURITIES LLC
Charlotte, NC 28210
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CRD#: 249056
RH
Professional summary
Robert A Holmes, ChFC®, CLU®, who also goes by Robert Alfred Holmes, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Charlotte, North Carolina.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1974. Robert has worked at 9 firms and has passed the Series 63, Series 7TO, SIE and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Robert Alfred Holmes
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. Individual Health
I sell individual health policies, Medicare supplements and Long Term Care policies
Start: 01/01/2013
Address: 6115 Park South Drive # 200 Charlotte, NC 28210
2 bus hrs per month
Investment related
2. Individual Life and DI
Start: 11/01/2013
Address: 6115 Park South Drive # 200 Charlotte NC 28210
1 bus hr per month
Investment Related
3. Board Member, Society of Financial Services Professional
General Board Member
Start: 06/05/2019
Address: 4600 Park Road, Suite 303
Charlotte NC 28209
5 bus hrs per month
Not investment related
CRS (Client Relationship Summary) - RIA
Click below to view Robert A Holmes's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert A Holmes'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®
Experience
Current
November 21, 2013 - Present
PARK AVENUE SECURITIES LLC
Office #1: 6115 Park South Drive Suite 200, Charlotte, NC 28210RIA
BD
CRD#: 46173
Charlotte, NC
Current
November 14, 2013 - Present
PARK AVENUE SECURITIES LLC
Office #1: 6115 Park South Drive Suite 200, Charlotte, NC 28210RIA
BD
CRD#: 46173
Charlotte, NC
Past
April 25, 2008 - November 11, 2013
NEW ENGLAND SECURITIES
RIA
CRD#: 615
CHARLOTTE, NC
Past
August 13, 2007 - November 11, 2013
NEW ENGLAND SECURITIES
BD
CRD#: 615
CHARLOTTE, NC
Past
February 13, 2006 - July 31, 2007
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
MATTHEWS, NC
Past
January 6, 2006 - July 31, 2007
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
MATTHEWS, NC
Past
February 26, 2003 - January 19, 2006
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
September 18, 2001 - February 13, 2003
MONY SECURITIES CORPORATION
RIA
CRD#: 4386
CHARLOTTE, NC
Past
December 18, 2000 - February 13, 2003
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
Past
September 21, 1988 - December 22, 2000
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
April 17, 1986 - September 19, 1988
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
July 21, 1977 - March 17, 1978
PAUL REVERE EQUITY SALES COMPANY (THE)
BD
CRD#: 2990
Past
July 21, 1977 - December 19, 1992
THE PAUL REVERE VARIABLE ANNUITY INSURANCE COMPANY
BD
CRD#: 647
WORCESTER, MA
Past
February 22, 1974 - May 8, 1977
NYLIFE SECURITIES LLC
BD
CRD#: 5167
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
Indiana(1/21/2024)
IAR
Indiana(1/21/2024)
RR
North Carolina(11/15/2013)
IAR
North Carolina(11/21/2013)
RR
South Carolina(11/14/2013)
IAR
South Carolina(11/25/2013)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 2/16/1974
Registered Representative ExaminationSRO 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.
