Jeffrey D. Martin
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jeffrey Douglas Martin, who also goes by J.d. Martin, Jd Martin, Jeffrey D Martin, Jefferson Douglas Martin, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 2004. Jeffrey had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 21, 2020 - April 28, 2021
PARK AVENUE SECURITIES LLC
October 19, 2020 - April 28, 2021
PARK AVENUE SECURITIES LLC
February 7, 2020 - May 28, 2020
SPROTT GLOBAL RESOURCE INVESTMENTS LTD
February 4, 2020 - May 28, 2020
SPROTT ASSET MANAGEMENT USA INC.
July 30, 2018 - September 6, 2018
PLANMEMBER SECURITIES CORPORATION
July 30, 2018 - September 6, 2018
PLANMEMBER SECURITIES CORPORATION
June 23, 2017 - July 31, 2018
MORGAN STANLEY
June 22, 2017 - July 31, 2018
MORGAN STANLEY
August 19, 2011 - May 9, 2016
LPL FINANCIAL LLC
August 19, 2011 - May 9, 2016
LPL FINANCIAL LLC
February 2, 2011 - May 24, 2011
ALIGHT FINANCIAL SOLUTIONS, LLC
February 2, 2011 - August 8, 2011
ALIGHT FINANCIAL SOLUTIONS, LLC
August 1, 2009 - April 23, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 30, 2009 - April 23, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 24, 2008 - March 18, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 23, 2008 - March 18, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 4, 2007 - September 20, 2007
WELLS FARGO CLEARING SERVICES, LLC
May 3, 2005 - September 20, 2007
WELLS FARGO CLEARING SERVICES, LLC
October 20, 2004 - December 9, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 8, 2004 - October 20, 2004
QUICK & REILLY, 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
Exams
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.
