JP
Jason A. Phipps
PARK AVENUE SECURITIES LLC
Clarksville, OH
Some features on this profile are disabled
CRD#: 4376314
JP
Professional summary
Jason A Phipps, who also goes by Jason Alan Lamb, Jason Alan Phipps, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Clarksville, Ohio.
Jason is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Jason has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jason Alan Lamb | Jason Alan Phipps
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) Clinton Massie Peewee Football-Board member/Treasurer, Start date: 07/01/2019, Address: PO Box 193 Clarksville, OH 45113, 5 total hours per month; 0 during securities trading hours, Non Investment related, No annual compensation, 2) Wilmington CIC- Treasurer/ Trustee, Start date: 12/01/2019, Address: 145 N South St Wilmington, OH 45177, 5 total hours per month; 0 during securities trading hours, Non Investment related, No annual compensation, 3) 7 Pillar Wealth Management, LLC-DBA for tax purposes, Start date: 08/01/2022, Address: 355 Pyle Road Clarksville, OH 45113, 2 total hours per month; 0 during securities trading hours, Investment related, No annual compensation, 4) Insurance products other than those offered through Guardian-Fixed Annuities, Start date: 02/16/2023, Address: 9100 West Chester Towne Centre Drive, Suite 355, West Chester, OH 45069, 5 total hours per month; 5 during securities trading hours, Investment related, Annual Compensation less than 10%, 5) Executor of Fay A. Conley Estate, Start Date: 2/6/2024, Address: 355 Pyle Rd. Clarksville, OH 45113, 5 total hours per month; 1 during securities trading hours, Not investment related, No annual compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Jason A Phipps's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jason A Phipps'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
August 11, 2022 - Present
PARK AVENUE SECURITIES LLC
Office #2: 7755 Paragon Road Suite 107, Dayton, OH 45459Office #3: 9100 West Chester Towne Centre Dr Suite 355, West Chester, OH 45069RIA
BD
CRD#: 46173
Clarksville, OH
Current
August 3, 2022 - Present
PARK AVENUE SECURITIES LLC
Office #1: 7755 Paragon Road Suite 107, Dayton, OH 45459Office #2: 9100 West Chester Towne Centre Dr Suite 355, West Chester, OH 45069RIA
BD
CRD#: 46173
Dayton, OH
Past
November 11, 2020 - August 1, 2022
9258 WEALTH MANAGEMENT, LLC
RIA
CRD#: 290693
BLUE ASH, OH
Past
April 17, 2015 - October 15, 2020
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
WILMINGTON, OH
Past
April 15, 2015 - October 15, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
WILMINGTON, OH
Past
January 21, 2014 - April 15, 2015
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
WILMINGTON, OH
Past
June 20, 2007 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
RIA
CRD#: 15340
WILMINGTON, OH
Past
June 18, 2007 - April 15, 2015
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
WILMINGTON, OH
Past
April 5, 2006 - July 16, 2007
LPL FINANCIAL LLC
RIA
CRD#: 6413
WILMINGTON, OH
Past
April 5, 2006 - July 16, 2007
LPL FINANCIAL LLC
BD
CRD#: 6413
WILMINGTON, OH
Past
June 22, 2005 - April 5, 2006
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
ST. CLOUD, MN
Past
July 11, 2002 - June 21, 2005
MM ASCEND LIFE INVESTOR SERVICES, LLC
BD
CRD#: 36451
CINCINNATI, OH
Past
August 3, 2001 - July 1, 2002
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
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(8/3/2022)
IAR
Alabama(8/15/2022)
RR
California(8/3/2022)
IAR
California(8/11/2022)
RR
Florida(8/3/2022)
IAR
Florida(8/12/2022)
RR
Illinois(8/3/2022)
IAR
Illinois(8/19/2022)
RR
Indiana(8/3/2022)
IAR
Indiana(8/15/2022)
RR
Kansas(5/14/2025)
IAR
Kansas(5/14/2025)
RR
Kentucky(8/3/2022)
IAR
Kentucky(8/11/2022)
RR
Maine(8/3/2022)
IAR
Maine(8/11/2022)
RR
Maryland(1/16/2024)
IAR
Maryland(1/16/2024)
RR
Michigan(8/3/2022)
IAR
Michigan(8/16/2022)
RR
New Mexico(8/5/2025)
IAR
New Mexico(8/5/2025)
RR
New York(8/3/2022)
IAR
New York(8/15/2022)
RR
North Carolina(9/28/2022)
IAR
North Carolina(10/4/2022)
RR
Ohio(8/4/2022)
IAR
Ohio(8/12/2022)
RR
South Carolina(8/3/2022)
IAR
South Carolina(8/19/2022)
RR
Texas(8/3/2022)
IAR
Texas(8/11/2022)
RR
Washington(9/29/2022)
IAR
Washington(9/29/2022)
RR
Wisconsin(8/3/2022)
IAR
Wisconsin(8/11/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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)
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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.
