WC
William J. Carver
PARK AVENUE SECURITIES LLC
Fayetteville, NC
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CRD#: 4819012
WC
Professional summary
William J Carver, who also goes by Bill Carver, William J. Carver III, Bill Carver, William James Carver III, William James Carver, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Fayetteville, North Carolina.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. William has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bill Carver | William J. Carver Iii | Bill Carver | William James Carver Iii | William James Carver
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.
CHURCH OF THE HARVEST, INC POSITION: Pastor NATURE: Religious Organization/Church INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 10/31/2004 ADDRESS: 221 Hope Mills Rd, Fayetteville NC 28304, United States DESCRIPTION: Provide general oversight, supervision and execution of weekly teaching and preaching responsibilities for the organization. RENTAL PROPERTY POSITION: Owner NATURE: Currently own and rent one single family rental property that is managed by a local property management firm INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2021 ADDRESS: 629 Larkspur Drive, Fayetteville NC 28311, United States DESCRIPTION: Rent one single-family rental property for income
CRS (Client Relationship Summary) - RIA
Click below to view William J Carver's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William J Carver'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
June 6, 2025 - Present
PARK AVENUE SECURITIES LLC
Office #2: 5511 Capital Center Drive Suite 104, Raleigh, NC 27606RIA
BD
CRD#: 46173
Fayetteville, NC
Current
April 23, 2025 - Present
PARK AVENUE SECURITIES LLC
Office #1: 5511 Capital Center Drive Suite 104, Raleigh, NC 27606RIA
BD
CRD#: 46173
RALEIGH, NC
Past
November 18, 2022 - August 26, 2024
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
Raleigh, NC
Past
November 18, 2022 - August 26, 2024
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
Raleigh, NC
Past
October 19, 2020 - June 13, 2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
Raleigh, NC
Past
October 15, 2020 - June 13, 2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
Raleigh, NC
Past
December 2, 2015 - May 6, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
FAYETTEVILLE, NC
Past
December 2, 2015 - May 6, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
FAYETTEVILLE, NC
Past
March 11, 2013 - July 8, 2015
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
FAYETTEVILLE, NC
Past
December 17, 2012 - July 8, 2015
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
FAYETTEVILLE, NC
Past
December 5, 2007 - July 24, 2009
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
Past
October 18, 2004 - December 2, 2005
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, 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
North Carolina(4/23/2025)
IAR
North Carolina(6/6/2025)
RR
Virginia(4/23/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
