JR
John F. Rosser
PARK AVENUE SECURITIES LLC
Greensboro, NC 27408
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CRD#: 405316
JR
Professional summary
John F Rosser JR., who also goes by John Fletcher Rosser Jr, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Greensboro, North Carolina.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1973. John has worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 00 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John Fletcher Rosser Jr
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. CP GREENSBORO, INC.-Group medical and Individual medical, dental, vision care insurance products.
Start: 03/01/1991
Address: 629 Green Valley Road, Suite 202 Greensboro, NC 27408
40 bus hrs per month
Investment related
2. INSURANCE SERVICES (PRODUCTS OTHER THAN GUARDIAN)-When Guardian Life does not have a product or does not approve a client for underwriting, I place the business elsewhere.
Start: 03/01/1991
Address: 629 Green Valley Road, Ste 202 Greensboro, NC 27408
20 bus hrs per month
Investment related
CRS (Client Relationship Summary) - RIA
Click below to view John F Rosser JR.'s CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John F Rosser JR.'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
April 1, 2004 - Present
PARK AVENUE SECURITIES LLC
Office #1: 629 Green Valley Road Suite 202, Greensboro, NC 27408RIA
BD
CRD#: 46173
Greensboro, NC
Current
May 3, 1999 - Present
PARK AVENUE SECURITIES LLC
Office #1: 629 Green Valley Road Suite 202, Greensboro, NC 27408RIA
BD
CRD#: 46173
Greensboro, NC
Past
December 31, 2000 - April 1, 2004
C.P. ADVISORY SERVICES
RIA
CRD#: 118052
GREENSBORO, NC
Past
February 4, 1991 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
May 21, 1974 - November 23, 1990
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
WORCESTER, MA
Past
June 19, 1973 - April 18, 1974
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
BD
CRD#: 5178
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
California(1/13/2025)
IAR
California(1/14/2025)
RR
Maryland(4/24/2025)
IAR
Maryland(4/24/2025)
RR
North Carolina(5/3/1999)
IAR
North Carolina(4/1/2004)
RR
Texas(9/8/2022)
RR
Virginia(7/16/1999)
IAR
Virginia(4/2/2004)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
RR
Series 00
Date: 6/11/1973
General Securities Principal ExaminationSRO 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#: 46173Greensboro, NC 27408TRUST BUT VERIFY
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