JS
Jennie M. Sherman
PARK AVENUE SECURITIES LLC
SHREWSBURY, NJ 07702-4331
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CRD#: 4308388
JS
Professional summary
Jennie Marie Sherman, who also goes by Jennie Marie Wagner, Jennie Wagner, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Shrewsbury, New Jersey.
Jennie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Jennie has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7A and Series 25 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jennie Marie Wagner | Jennie Wagner
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. Woman's Club of Red Bank, Board of Directors,
Start: 02/06/2024,
Address: 164 Broad St, Red Bank, NJ 07701,
8 total hours per month, 1 during securities trading hours,
No annual compensation,
Not investment related,
2. Director Consultant BNI - Business Networking International,
Start: 06/11/2024,
Address: 11525 North Community House Road, Suite 475, Charlotte, NC 28277,
10 total hours per month, 1 during securities trading hours,
No annual compensation,
Not investment related,
3. Ash Brokerage-Insurance other than Guardian,
Start: 08/1/2025,
Address: 1040 Broad Street Suite 202 Shrewsbury NJ 07702,
3 total hours per month, 3 during securities trading hours,
Investment Related,
>10% Annual Compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Jennie Marie Sherman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jennie Marie Sherman'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
December 5, 2024 - Present
PARK AVENUE SECURITIES LLC
Office #1: 1040 Broad Street Suite 202, Shrewsbury, NJ 07702-4331RIA
BD
CRD#: 46173
SHREWSBURY, NJ
Current
October 20, 2023 - Present
PARK AVENUE SECURITIES LLC
Office #1: 1040 Broad Street Suite 202, Shrewsbury, NJ 07702-4331RIA
BD
CRD#: 46173
SHREWSBURY, NJ
Past
June 18, 2002 - September 7, 2006
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
October 1, 2000 - June 14, 2002
MONACO BROKERAGE CORPORATION
BD
CRD#: 33151
NEW YORK, NY
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
Florida(1/7/2025)
IAR
Florida(1/8/2025)
RR
Michigan(8/20/2025)
IAR
Michigan(8/20/2025)
RR
New Jersey(11/5/2024)
IAR
New Jersey(12/5/2024)
RR
New York(2/13/2025)
IAR
New York(2/13/2025)
RR
North Carolina(2/14/2025)
IAR
North Carolina(2/14/2025)
RR
Pennsylvania(1/7/2025)
IAR
Pennsylvania(1/7/2025)
RR
Virginia(9/3/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/20/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 7A
Date: 5/28/2003
Floor Broker Representative ExamGeneral Industry/Product Exam
RR
Series 25
Date: 3/30/1999
NYSE Trading Assistant 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#: 46173Shrewsbury, NJ 07702-4331TRUST BUT VERIFY
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