Barbara M. Turner
Professional summary
Barbara Monique Turner, who also goes by Barbara M Turner, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Drexel Hill, Pennsylvania.
Barbara is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Barbara has worked at 7 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Barbara Monique Turner's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Barbara Monique Turner's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 5, 2024 - Present
PARK AVENUE SECURITIES LLC
February 5, 2024 - Present
PARK AVENUE SECURITIES LLC
Office #1: 10 Hudson Yards, New York, NY 10001April 17, 2019 - February 5, 2024
CITIZENS SECURITIES, INC.
April 17, 2019 - February 5, 2024
CITIZENS SECURITIES, INC.
November 2, 2018 - April 12, 2019
JANNEY MONTGOMERY SCOTT LLC
November 2, 2018 - April 12, 2019
JANNEY MONTGOMERY SCOTT LLC
April 9, 2015 - October 23, 2018
EQUITABLE ADVISORS, LLC
December 8, 2014 - October 23, 2018
EQUITABLE ADVISORS, LLC
March 7, 2013 - October 31, 2014
LINCOLN INVESTMENT
January 11, 2010 - February 11, 2013
JANNEY MONTGOMERY SCOTT LLC
September 15, 2008 - November 9, 2009
JANNEY MONTGOMERY SCOTT LLC
January 29, 2008 - June 11, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 1, 2006 - November 9, 2007
CINCINNATI ANALYSTS, INC.
Primary Firm SEC Registration
PARK AVENUE SECURITIES LLC
CRD#: 46173 / SEC#: 801-58108, 8-51324
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/5/2024)
(2/5/2024)
(2/5/2024)
(2/5/2024)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
PARK AVENUE SECURITIES LLC
CRD#: 46173 / SEC#: 801-58108, 8-51324
Contact information
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.
