FREDERICK K. SHARBAUGH
PARK AVENUE SECURITIES LLC | Financial Advisor & Registered Representative
Baton Rouge, LA 70810
CRD#: 3021778
Professional summary
FREDERICK K SHARBAUGH, who also goes by Frederick Kyle Sharbaugh, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Baton Rouge, Louisiana.
FREDERICK is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. FREDERICK has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Biography
I am a Baton Rouge native. I have been working as a financial representative with Iron Horse Financial since 1997. My focus is in assisting small business owners and physicians. I am able to help reduce the stress of planning for the financial future and allow clients to focus on their business. Over the years I have built financial plans using both a defense and offensive mentality. I have over 17 years experience in this industry. This span has allowed me to assist my clients from the market boom of the late 90’s as well as the busts of 2000 and 2008. I am proactive; I build strategies to help offset the enviable events, taxes, employment interruption, and lawsuits. I develop well focused strategic plans with a fresh perspective.
I also provide a tool (The Living Balance Sheet)® to organize and track my clients' personal finances and insurance products as well as their business.
Question & Answer
What are your service offerings?
Organization and optimization ...
Risk Management (Market, Tax S...
Investing principles and strat...
Retirement investing and distr...
Estate conservation issues
Are you a "fiduciary"?
Yes
Aliases
Frederick Kyle Sharbaugh
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) KYLE SHARBAUGH FINANCIAL SERVICES-sell them a product from another company if I find that it best meets needs and objectives, Start: 01/01/1998, Address: 16159 Highland Bluff Ct. Baton Rouge, LA 70810, 2 bus hrs per month, Investment related, 2) RENTAL PROPERTY-Residential Apartments, Start: 01/01/2001, Address: 120 Stubb Street Denham Springs, LA 70726, 1 non bus hr per month, Investment related, 3) Durable POA/Trustee - Fred C Sharbaugh, Start: 05/08/2020, Address: 16159 Highland Bluff Ct. Baton Rouge, La. 70810, 0 total hours, Not investment related, No annual compensation, 4) Agent of Elona Sharbaugh Power of Attorney, Start: 11/24/2020, Address: 16159 Highland Bluff Ct Baton Rouge, La 70810 0 total hours, Not investment related, No annual compensation,
CRS (Client Relationship Summary) - RIA
Click below to view FREDERICK K SHARBAUGH's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view FREDERICK K SHARBAUGH'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
June 30, 2003 - Present
PARK AVENUE SECURITIES LLC
Office #1: 10000 Perkins Rowe Suite G350, Baton Rouge, LA 70810RIA
BD
CRD#: 46173
Baton Rouge, LA
Current
May 3, 1999 - Present
PARK AVENUE SECURITIES LLC
Office #1: 10000 Perkins Rowe Suite G350, Baton Rouge, LA 70810RIA
BD
CRD#: 46173
Baton Rouge, LA
Past
May 14, 1998 - 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
Alabama(4/8/2010)
IAR
Alabama(10/11/2018)
RR
Arizona(3/15/2012)
IAR
Arizona(5/22/2024)
RR
Arkansas(2/22/2012)
RR
California(6/28/2011)
IAR
California(10/28/2021)
RR
Colorado(3/29/2019)
IAR
Colorado(6/26/2023)
RR
Florida(6/27/2007)
IAR
Florida(5/17/2019)
RR
Georgia(2/26/2021)
IAR
Georgia(3/11/2021)
RR
Idaho(5/22/2025)
RR
Illinois(7/11/2014)
IAR
Illinois(2/16/2019)
RR
Indiana(9/23/2010)
IAR
Indiana(2/20/2025)
RR
Louisiana(5/3/1999)
IAR
Louisiana(6/30/2003)
RR
Maryland(5/13/2022)
IAR
Maryland(5/13/2022)
RR
Mississippi(1/29/2018)
IAR
Mississippi(1/29/2018)
RR
Montana(4/12/2022)
IAR
Montana(4/12/2022)
RR
Nevada(1/2/2024)
IAR
Nevada(1/4/2024)
RR
New Mexico(10/1/2021)
IAR
New Mexico(10/4/2021)
RR
North Carolina(11/4/2010)
IAR
North Carolina(9/15/2017)
RR
Oklahoma(5/7/2013)
IAR
Oklahoma(8/9/2021)
RR
Oregon(8/16/2010)
IAR
Oregon(9/15/2017)
RR
South Carolina(4/29/2025)
IAR
South Carolina(5/2/2025)
RR
Tennessee(2/12/2020)
RR
Texas(8/22/2007)
IAR
Texas(5/18/2018)
RR
Utah(3/7/2019)
IAR
Utah(3/11/2019)
RR
Virginia(7/14/2011)
IAR
Virginia(10/27/2017)
RR
Washington(9/5/2013)
IAR
Washington(9/15/2017)
RR
Wyoming(5/2/2022)
IAR
Wyoming(5/5/2022)
Exams
State Security Law Exam
State Security Law 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.
Company Information
PARK AVENUE SECURITIES LLC
Financial Advisor & Registered RepresentativeCRD#: 46173Baton Rouge, LA 70810TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
