BR
Bruce B. Romberg
PARK AVENUE SECURITIES LLC
Appleton, WI 54915
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CRD#: 2636535
BR
Professional summary
Bruce Barton Romberg, who also goes by Bruce B Romberg, Bruce Barton Romberg, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Appleton, Wisconsin.
Bruce is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Bruce has worked at 4 firms and has passed the Series 65, Series 63, Series 82TO, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bruce B Romberg | Bruce Barton Romberg
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 Bruce Barton Romberg's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Bruce Barton Romberg'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
April 20, 2023 - Present
PARK AVENUE SECURITIES LLC
Office #1: 1720 N. Briarcliff Drive, Appleton, WI 54915RIA
BD
CRD#: 46173
Appleton, WI
Current
April 20, 2023 - Present
PARK AVENUE SECURITIES LLC
Office #1: 6255 Sterners Way, Bethlehem, PA 18017RIA
BD
CRD#: 46173
Bethlehem, PA
Past
April 4, 2008 - March 20, 2023
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
APPLETON, WI
Past
April 4, 2008 - March 20, 2023
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
APPLETON, WI
Past
February 22, 2000 - April 11, 2007
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
APPLETON, WI
Past
December 20, 1996 - November 9, 1998
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
Past
October 11, 1995 - December 24, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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
Alabama(4/20/2023)
RR
Alaska(4/20/2023)
RR
Arizona(4/20/2023)
RR
Arkansas(4/20/2023)
RR
California(4/20/2023)
RR
Colorado(4/20/2023)
RR
Connecticut(4/20/2023)
RR
Delaware(4/20/2023)
RR
District of Columbia(4/20/2023)
RR
Florida(4/20/2023)
RR
Georgia(4/20/2023)
RR
Hawaii(4/20/2023)
RR
Idaho(4/20/2023)
RR
Illinois(4/20/2023)
RR
Indiana(4/20/2023)
RR
Iowa(4/20/2023)
RR
Kansas(4/20/2023)
RR
Kentucky(4/20/2023)
RR
Louisiana(4/20/2023)
RR
Maine(4/20/2023)
RR
Maryland(4/20/2023)
RR
Massachusetts(4/20/2023)
RR
Michigan(4/20/2023)
RR
Minnesota(4/20/2023)
RR
Mississippi(4/20/2023)
RR
Missouri(4/20/2023)
RR
Montana(4/20/2023)
RR
Nebraska(4/20/2023)
RR
Nevada(4/20/2023)
RR
New Hampshire(4/20/2023)
RR
New Jersey(4/20/2023)
RR
New Mexico(4/20/2023)
RR
New York(4/20/2023)
RR
North Carolina(4/20/2023)
RR
North Dakota(4/20/2023)
RR
Ohio(4/20/2023)
RR
Oklahoma(4/20/2023)
RR
Oregon(4/20/2023)
RR
Pennsylvania(4/20/2023)
IAR
Pennsylvania(4/21/2023)
RR
Puerto Rico(4/20/2023)
RR
Rhode Island(4/20/2023)
RR
South Carolina(4/20/2023)
RR
South Dakota(4/20/2023)
RR
Texas(4/20/2023)
RR
Utah(4/20/2023)
RR
Vermont(4/20/2023)
RR
Virgin Islands(4/20/2023)
RR
Virginia(4/20/2023)
RR
Washington(4/20/2023)
RR
West Virginia(4/20/2023)
RR
Wisconsin(4/20/2023)
IAR
Wisconsin(4/20/2023)
RR
Wyoming(4/20/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 82TO
Date: 4/20/2023
Limited Representative-Private Securities OfferingsGeneral Industry/Product Exam
RR
Series 52TO
Date: 4/20/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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#: 46173Appleton, WI 54915TRUST BUT VERIFY
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