JC
James A. Cox
PARK AVENUE SECURITIES LLC
EASTON, PA
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CRD#: 3216175
JC
Professional summary
James Allen Cox, who also goes by James A Cox, Jim Cox, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Easton, Pennsylvania.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. James has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James A Cox | Jim Cox
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. Brokerage-Insurance brokerage. Mostly group medical, Start: 08/01/2012, Address: 150 South Warner Road, Suite 120, King of Prussia, PA 19406, 1 total business hour per month, 1 during securities trading hours, Less than 10% annual compensation, Investment related, 2. Personal art sale website-I paint recreationally with my daughter. People like the paintings we have done so we decided to find a platform to list the works, Start: 06/28/2012, Address: 1859 Ferry St Easton, PA 18042, 10 total hours per month; 0 during securities trading hours, Less than 10% annual compensation, Not investment related, 3. Write articles for Medium- I intend to publish approved articles on a platform called Medium, Start: 12/19/2017, Address: 150 South Warner Rd Suite 120 King of Prussia, PA 19403, 1 total hour per month; 1 during securities trading hours, No annual compensation, Not investment related, 4. Animal Defenders of Greater Lehigh Valley, Start: 10/31/2024, Address: PO Box 10 Hellertown, PA 18055, 3 total hours per month; 0 during securities trading hours, No annual compensation, Not investment related, 5. Treasurer for Arts Community of Easton, Start: 04/01/2024, Address: Arts Community of Easton, PO Box 465, Easton, PA 18044, 3 total hours per month; 0 during securities trading hours, No annual compensation, Not investment related
CRS (Client Relationship Summary) - RIA
Click below to view James Allen Cox's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Allen Cox'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
February 14, 2012 - Present
PARK AVENUE SECURITIES LLC
Office #2: 150 South Warner Road Suite 120, King Of Prussia, PA 19406RIA
BD
CRD#: 46173
EASTON, PA
Current
January 30, 2012 - Present
PARK AVENUE SECURITIES LLC
Office #1: 150 South Warner Road Suite 120, King Of Prussia, PA 19406RIA
BD
CRD#: 46173
King Of Prussia, PA
Past
January 31, 2008 - January 20, 2012
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
BALA CYNWYD, PA
Past
January 31, 2008 - January 20, 2012
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
BALA CYNWYD, PA
Past
June 22, 2006 - February 1, 2008
FINANCIAL WEST GROUP
RIA
CRD#: 16668
LANSDALE, PA
Past
February 22, 2006 - February 1, 2008
FINANCIAL WEST GROUP
BD
CRD#: 16668
LANSDALE, PA
Past
March 22, 2005 - January 23, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
LANSDALE, PA
Past
August 12, 1999 - March 13, 2001
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DALLAS, 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
Arizona(8/8/2014)
RR
California(11/14/2013)
IAR
California(11/14/2013)
RR
Colorado(7/2/2025)
IAR
Colorado(7/2/2025)
RR
Florida(7/30/2019)
IAR
Florida(7/30/2019)
RR
Kentucky(6/24/2025)
RR
Maryland(1/6/2021)
IAR
Maryland(1/6/2021)
RR
Massachusetts(6/2/2016)
IAR
Massachusetts(9/13/2022)
RR
Michigan(1/20/2022)
RR
Missouri(7/26/2021)
RR
New Jersey(1/30/2012)
IAR
New Jersey(2/14/2012)
RR
New York(1/30/2012)
IAR
New York(4/16/2021)
RR
Ohio(1/3/2019)
RR
Pennsylvania(1/30/2012)
IAR
Pennsylvania(2/14/2012)
RR
Texas(2/7/2018)
IAR
Texas(9/18/2024)
RR
Virginia(7/8/2024)
IAR
Virginia(7/8/2024)
RR
Washington(2/8/2018)
IAR
Washington(7/1/2019)
RR
Wisconsin(4/5/2019)
IAR
Wisconsin(4/5/2019)
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.
