JW
John A. Ware
PARK AVENUE SECURITIES LLC
RALEIGH, NC 27606
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CRD#: 3221406
JW
Professional summary
John A Ware, who also goes by John Ashby Ware, Ashby Ware, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Raleigh, North Carolina.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. John has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John Ashby Ware | Ashby Ware
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. Insurance Products other than Guardian-I offer insurance and annuity products other than Guardian, if necessary, per the client's objectives., Start: 04/01/2012, Address: 2626 Glenwood Ave Suite 450; Raleigh NC 27608, Hrs per month - tot/bus: 10/5, Investment related, 2. Executor for Estate of parents- I am the named executor of my parent's wills., Start: 08/03/2017, Address: 2626 Glenwood Ave Ste 450 Raleigh NC 27608, 0 hrs per month, Not investment related, 3.) Executor for Byron Pruitt- stepfather., Start: 03/21/2022, Address: 1736 Maizefield Lane Fuquay Varina NC 27526, 0 total hours per month 0 during securities trading hours, Not Investment related, No annual compensation,
CRS (Client Relationship Summary) - RIA
Click below to view John A Ware's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John A Ware'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
May 2, 2012 - Present
PARK AVENUE SECURITIES LLC
Office #1: 5511 Capital Center Drive Suite 104, Raleigh, NC 27606RIA
BD
CRD#: 46173
RALEIGH, NC
Current
April 16, 2012 - Present
PARK AVENUE SECURITIES LLC
Office #1: 5511 Capital Center Drive Suite 104, Raleigh, NC 27606RIA
BD
CRD#: 46173
RALEIGH, NC
Past
July 22, 2010 - April 5, 2012
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
FURUAY VARINA, NC
Past
March 31, 2010 - April 5, 2012
NYLIFE SECURITIES LLC
BD
CRD#: 5167
FUQUAY VARINA, NC
Past
May 26, 2006 - March 12, 2010
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
RALEIGH, NC
Past
June 30, 2004 - March 12, 2010
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
RALEIGH, NC
Past
August 26, 2002 - June 14, 2004
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
CHARLOTTE, NC
Past
May 5, 1999 - February 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
BD
CRD#: 8112
CHARLOTTE, NC
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(5/15/2024)
IAR
Alabama(5/15/2024)
RR
Connecticut(8/25/2025)
IAR
Connecticut(8/25/2025)
RR
Florida(4/16/2012)
IAR
Florida(1/11/2018)
RR
Georgia(4/4/2018)
IAR
Georgia(4/4/2018)
RR
Kansas(8/7/2025)
IAR
Kansas(8/7/2025)
RR
Maryland(11/1/2021)
RR
Massachusetts(1/25/2013)
RR
New Jersey(10/2/2012)
RR
North Carolina(4/17/2012)
IAR
North Carolina(5/2/2012)
RR
South Carolina(4/16/2012)
IAR
South Carolina(6/12/2017)
RR
Texas(7/14/2025)
RR
Virginia(12/3/2012)
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.
Company Information
PARK AVENUE SECURITIES LLC
CRD#: 46173Raleigh, NC 27606TRUST BUT VERIFY
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