NF
Nicholas J. Franco
PARK AVENUE SECURITIES LLC
Red Bank, NJ 07701
Some features on this profile are disabled
CRD#: 4332448
NF
Professional summary
Nicholas J Franco, who also goes by Nicholas Joseph Franco, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Red Bank, New Jersey and PARK AVENUE INVESTMENT ADVISORY, LLC located in Red Bank, New Jersey.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Nicholas has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nicholas Joseph Franco
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) BiondCoaching LLC-provide a structural process for balancing the behavioral and financial needs of our clients, Start date: 04/05/2022, Address: 333 Broad Street, Suite 101 Red Bank NJ 07701, 1 total hour per month; 0 during securities trading hours, Not investment related, No annual compensation, 2) Nicholas Consulting, LLC -created to facilitate payment for marketing expenses as well as tax benefits. Start date: 09/01/2024, Address: 600 Forest Park Ln, Unit 6200, Old Bridge, NJ 08857, 1 total hour per month; 0 during securities trading hours, Not investment related, No annual compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas J Franco's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Nicholas J Franco'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 8, 2019 - Present
PARK AVENUE SECURITIES LLC
Office #1: 333 Broad Street Suite 300-1, Red Bank, NJ 07701Office #2: 6939 Amboy Road, Staten Island, NY 10309RIA
BD
CRD#: 46173
Red Bank, NJ
Current
September 25, 2025 - Present
PARK AVENUE INVESTMENT ADVISORY, LLC
Office #1: 333 Broad St Suite 300-1, Red Bank, NJ 07701RIA
CRD#: 310203
Red Bank, NJ
Current
March 8, 2019 - Present
PARK AVENUE SECURITIES LLC
Office #1: 333 Broad Street Suite 300-1, Red Bank, NJ 07701Office #2: 6939 Amboy Road, Staten Island, NY 10309RIA
BD
CRD#: 46173
Red Bank, NJ
Past
October 7, 2014 - November 5, 2018
FORESTERS ADVISORY SERVICES, LLC
RIA
CRD#: 164663
EDISON, NJ
Past
January 11, 2011 - November 5, 2018
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
EDISON, NJ
Past
May 5, 2010 - November 17, 2010
CHELSEA FINANCIAL SERVICES
BD
CRD#: 47770
STATEN ISLAND, NY
Past
March 17, 2008 - May 7, 2008
VFINANCE INVESTMENTS, INC
BD
CRD#: 44962
STATEN ISLAND, NY
Past
October 21, 2002 - March 1, 2006
J.P. TURNER & COMPANY, L.L.C.
BD
CRD#: 43177
ATLANTA, GA
Past
August 29, 2001 - November 14, 2002
GRAYSON FINANCIAL LLC
BD
CRD#: 11764
RED BANK, NJ
Past
January 26, 2001 - August 31, 2001
J.P. TURNER & COMPANY, L.L.C.
BD
CRD#: 43177
ATLANTA, GA
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
Arizona(8/10/2022)
IAR
Arizona(8/18/2022)
RR
Arkansas(4/8/2022)
RR
California(12/18/2020)
IAR
California(12/18/2020)
RR
Connecticut(11/10/2023)
IAR
Connecticut(11/13/2023)
RR
Delaware(5/26/2021)
IAR
Delaware(5/26/2021)
RR
Florida(7/10/2019)
IAR
Florida(7/11/2019)
RR
Illinois(3/31/2021)
IAR
Illinois(4/14/2021)
RR
Kentucky(4/11/2025)
IAR
Kentucky(4/18/2025)
RR
Maryland(9/1/2021)
RR
Massachusetts(3/26/2024)
IAR
Massachusetts(4/2/2024)
IAR
Minnesota(3/27/2025)
RR
Minnesota(4/1/2025)
RR
New Jersey(3/8/2019)
IAR
New Jersey(4/8/2019)
RR
New Mexico(5/29/2025)
IAR
New Mexico(5/29/2025)
RR
New York(3/8/2019)
IAR
New York(4/16/2021)
RR
North Carolina(10/6/2020)
IAR
North Carolina(1/20/2023)
RR
Ohio(4/10/2024)
IAR
Ohio(4/10/2024)
RR
Pennsylvania(10/31/2024)
IAR
Pennsylvania(10/31/2024)
RR
Rhode Island(7/10/2023)
IAR
Rhode Island(7/11/2023)
RR
South Carolina(8/6/2021)
IAR
South Carolina(8/11/2021)
RR
Texas(10/16/2019)
IAR
Texas(10/16/2019)
RR
Virginia(8/16/2023)
Exams
State Security Law Exam
State Security Law 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.
