JM
James A. Moore
PARK AVENUE SECURITIES LLC
HILLSBOROUGH, NJ
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CRD#: 2624578
JM
Professional summary
James A Moore, who also goes by Jame Moore, James Anthony Moore, Jamie Moore, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Hillsborough, New Jersey.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. James has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 62 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jame Moore | James Anthony Moore | Jamie Moore
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. M&M Real Estate Holdings, LLC-We purchase, repair and sell residential properties, Start: 01/01/2010, Address: 822 Atkinson Circle, Hillsborough, NJ 08844, 5 bus hrs per month, Investment related, 2. Non Profit Trustee - Hillsborough Jr Raiders Sports-Oversee the operations of the organization,. Start: 07/01/2011, Address: PO Box 7735, Hillsborough, NJ 08844, Hrs per month - Tot/Bus: 10/4, Not investment related, 3. Broker-Broker life insurance, Disability Insurance, Long Term care insurance and fixed annuities from companies other than Guardian or its affiliates,. Start: 04/01/2011, Address: 822 Atkinson Circle, Hillsborough, NJ 08844, Hrs per month - tot/bus: 20/10, Investment related, >10% annual compensation, 4. STRATEGIC WEALTH PARTNERS, INC-Broker of Insurance products, Start: 01/01/2004, Address: 822 Atkinson Circle, Hillsborough, NJ 08844, 10 bus hrs per month, Investment related, 5. Somerset County 200 Club Board Member-Board Member - Involved in the annual operation and purpose of club,. Start: 01/01/2020, Address: PO Box 179 Somerville, NJ 08876, 1 total business hour per month, Not investment related, 6. Planning Alliance Consulting (Valmax Consulting LLC) -Business Consulting for Businesses and estates, Start: 07/01/2022, Address: 822 Atkinson Circle, Hillsborough, NJ 08844, 10 total hours per month; 10 during securities trading hours, Not investment related, Less than 10% annual compensation, 7. Eastpoint Homeowners Association - Appointed Officer Vice President, Start: 11/01/2023, Address: 822 Atkinson Circle, Hillsborough, NJ 08844, 1 total hour per month; 0 during securities trading hours, Not investment related, No annual compensation
CRS (Client Relationship Summary) - RIA
Click below to view James A Moore's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James A Moore'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
January 16, 2003 - Present
PARK AVENUE SECURITIES LLC
Office #2: 50 Tice Blvd Suite 280, Woodcliff Lake, NJ 07677RIA
BD
CRD#: 46173
HILLSBOROUGH, NJ
Current
May 3, 1999 - Present
PARK AVENUE SECURITIES LLC
Office #1: 50 Tice Blvd Suite 280, Woodcliff Lake, NJ 07677RIA
BD
CRD#: 46173
Woodcliff Lake, NJ
Past
June 30, 1995 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
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
Delaware(11/27/2023)
IAR
Delaware(11/27/2023)
RR
Florida(4/3/2007)
RR
Maryland(1/13/2022)
RR
Massachusetts(4/18/2024)
IAR
Massachusetts(4/24/2024)
RR
New Jersey(5/3/1999)
IAR
New Jersey(1/16/2003)
RR
New York(5/3/1999)
RR
North Carolina(1/3/2011)
RR
Pennsylvania(1/10/2006)
IAR
Pennsylvania(7/16/2012)
RR
South Carolina(9/21/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 6/15/2000
Corporate Securities Limited Representative ExaminationGeneral 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.
