RP
Robert B. Penn
PARK AVENUE SECURITIES
Charlottesville, VA 22902
Some features on this profile are disabled
CRD#: 3225731
RP
Professional summary
Robert Benton Penn, who also goes by Benton Penn, R Benton Penn, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Charlottesville, Virginia.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Robert has worked at 7 firms and has passed the Series 66, Series 63, Series 6TO, SIE, Series 7, Series 51, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Benton Penn | R Benton Penn
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 Robert Benton Penn's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Benton Penn'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
March 30, 2026 - Present
PARK AVENUE SECURITIES LLC
Office #1: 425 Locust Ave Suite 3c, Charlottesville, VA 22902RIA
BD
CRD#: 46173
Charlottesville, VA
Current
March 27, 2026 - Present
PARK AVENUE SECURITIES LLC
Office #1: 425 Locust Ave Suite 3c, Charlottesville, VA 22902RIA
BD
CRD#: 46173
Charlottesville, VA
Past
March 6, 2025 - March 24, 2026
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
Birmingham, AL
Past
March 6, 2025 - March 24, 2026
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
Birmingham, AL
Past
June 14, 2024 - March 11, 2025
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
ROANOKE, VA
Past
June 14, 2024 - March 11, 2025
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
ROANOKE, VA
Past
January 27, 2023 - June 17, 2024
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
HUNTSVILLE, AL
Past
January 20, 2023 - June 17, 2024
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
HUNTSVILLE, AL
Past
September 18, 2019 - January 13, 2023
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
HUNTSVILLE, AL
Past
September 11, 2019 - January 13, 2023
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
HUNTSVILLE, AL
Past
July 3, 2019 - August 30, 2019
ALLSTATE FINANCIAL ADVISORS, LLC
RIA
CRD#: 109524
Charlottesville, VA
Past
January 5, 2015 - August 30, 2019
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
Charlottesville, VA
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(3/31/2026)
RR
Connecticut(4/1/2026)
RR
Florida(3/30/2026)
RR
Georgia(3/30/2026)
RR
Kentucky(4/2/2026)
RR
Louisiana(3/31/2026)
RR
Michigan(3/31/2026)
RR
Mississippi(4/2/2026)
RR
Nevada(3/31/2026)
RR
North Carolina(3/31/2026)
RR
South Carolina(4/1/2026)
RR
Texas(3/30/2026)
IAR
Texas(3/30/2026)
RR
Virginia(3/31/2026)
IAR
Virginia(3/31/2026)
RR
Washington(3/31/2026)
RR
West Virginia(4/2/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 3/6/2025
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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)
PREMIUM
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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.
