SA
Stephen J. Alexander
PARK AVENUE SECURITIES LLC
Longwood, FL
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CRD#: 3067213
SA
Professional summary
Stephen John Oliver Alexander, who also goes by Stephen J.o. Alexander, Stephen O.j. Alexander, Stephen Oliver Alexander, Stephen Oliver John Alexander Jr, Stephen Alexander, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Longwood, Florida.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Stephen has worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stephen J.o. Alexander | Stephen O.j. Alexander | Stephen Oliver Alexander | Stephen Oliver John Alexander Jr | Stephen Alexander
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) Board Member-Wekiva HOA, Start date: 10/1/2020, Address: 197 N. Hunt Club Blvd, Longwood FL 32779, 4 total hours per month; 0 during securities trading hours, Not Investment related, No annual compensation, 2) Wekiva Neighbors Care-Volunteer/Officer, Start Date: 8/8/2020, Address: 940 Centre Circle, Suite 1000 Altamonte Springs, FL 32714, 8 total hours per month; 0 during securities trading hours, Not Investment Related, No Annual Compensation, 3) SOAR Health Advisors, LLC-United Healthcare Independent Marketing Organization (IMO) is run through, Start Date: 3/16/2017, Address: 940 Centre Circle, Suite 1000 Altamonte Springs, FL 32714, 24 total hours per month; 8 during securities trading hours, Investment Related, Greater than 10% Annual Compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Stephen John Oliver Alexander's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stephen John Oliver Alexander'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
November 17, 2022 - Present
PARK AVENUE SECURITIES LLC
Office #2: 400 International Pkwy Suite 100, Lake Mary, FL 32746RIA
BD
CRD#: 46173
Longwood, FL
Current
November 10, 2022 - Present
PARK AVENUE SECURITIES LLC
Office #1: 400 International Pkwy Suite 100, Lake Mary, FL 32746RIA
BD
CRD#: 46173
Lake Mary, FL
Past
August 20, 2019 - December 7, 2020
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
Maitland, FL
Past
July 15, 2019 - December 7, 2020
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
Maitland, FL
Past
December 19, 2012 - July 19, 2017
NYLIFE SECURITIES LLC
BD
CRD#: 5167
LONGWOOD, FL
Past
June 22, 2011 - October 31, 2012
PERSHING LLC
BD
CRD#: 7560
LAKE MARY, FL
Past
May 14, 1999 - December 31, 2002
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
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
Florida(11/14/2022)
IAR
Florida(11/17/2022)
RR
Georgia(11/14/2022)
IAR
Georgia(11/18/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/13/2022
General Securities Representative ExaminationGeneral 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.
