JB
Jay M. Bartley
PARK AVENUE SECURITIES LLC
Aledo, TX
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CRD#: 3055143
JB
Professional summary
Jay M Bartley, who also goes by Jay Majors Bartley, Jay Bartley, Harriet Jay Majors, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Aledo, Texas.
Jay is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Jay has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jay Majors Bartley | Jay Bartley | Harriet Jay Majors
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 Jay M Bartley's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jay M Bartley'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
December 16, 2015 - Present
PARK AVENUE SECURITIES LLC
Office #2: 6000 Western Place Suite 120, Fort Worth, TX 76107RIA
BD
CRD#: 46173
Aledo, TX
Current
October 19, 2015 - Present
PARK AVENUE SECURITIES LLC
Office #1: 6000 Western Place Suite 120, Fort Worth, TX 76107RIA
BD
CRD#: 46173
Fort Worth, TX
Past
March 28, 2011 - August 14, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
FT. WORTH, TX
Past
March 28, 2011 - August 14, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
FT. WORTH, TX
Past
March 12, 2010 - January 5, 2011
COMERICA SECURITIES
RIA
CRD#: 17079
FORT WORTH, TX
Past
March 12, 2010 - January 5, 2011
COMERICA SECURITIES
BD
CRD#: 17079
FORT WORTH, TX
Past
January 2, 2009 - December 2, 2009
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
FORT WORTH, TX
Past
January 2, 2009 - December 2, 2009
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
FORT WORTH, TX
Past
September 18, 2007 - January 5, 2009
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
FORTH WORTH, TX
Past
July 31, 2003 - May 3, 2005
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
FORT WORTH, TX
Past
May 7, 2003 - May 3, 2005
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
SAN FRANCISCO, CA
Past
May 19, 1998 - August 9, 2002
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
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
Arizona(4/4/2023)
IAR
Arizona(4/10/2023)
RR
California(11/18/2015)
IAR
California(7/13/2017)
RR
Colorado(1/22/2019)
IAR
Colorado(1/23/2019)
RR
Florida(2/7/2020)
IAR
Florida(2/10/2020)
RR
Georgia(5/25/2022)
IAR
Georgia(5/31/2022)
RR
Idaho(1/8/2020)
IAR
Idaho(1/16/2020)
RR
Illinois(1/16/2024)
IAR
Illinois(4/18/2025)
RR
Iowa(11/5/2025)
IAR
Iowa(11/5/2025)
RR
Maryland(2/7/2020)
IAR
Maryland(2/7/2020)
RR
Massachusetts(1/10/2018)
IAR
Massachusetts(1/17/2018)
RR
Michigan(12/2/2022)
IAR
Michigan(12/7/2022)
RR
Montana(5/26/2022)
IAR
Montana(5/26/2022)
RR
Nebraska(10/10/2018)
IAR
Nebraska(10/23/2018)
RR
New Jersey(5/25/2022)
IAR
New Jersey(5/26/2022)
RR
New York(5/25/2022)
IAR
New York(5/25/2022)
RR
North Carolina(2/7/2020)
IAR
North Carolina(2/12/2020)
RR
Ohio(2/7/2020)
IAR
Ohio(2/7/2020)
RR
Oregon(8/9/2021)
IAR
Oregon(8/9/2021)
RR
Texas(11/9/2015)
IAR
Texas(12/16/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
