Sergio Jimenez-gudino
PARK AVENUE SECURITIES LLC
SAN ANTONIO, TX 78258
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CRD#: 4902263
Professional summary
Sergio Jimenez-gudino, CFP®, who also goes by Sergio Gudino Jimenez, Sergio Jimenez, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in San Antonio, Texas.
Sergio is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Sergio has worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sergio Gudino Jimenez | Sergio Jimenez
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) Grupo JMX Consulting SRL de CV; Mexican corporation that employes my employees in Mexico that service the law firm. Also DBA in Mexico is Jimenez Wealth MX. It is a legal entity to provide payroll to my mexican employees. Employees have two roles. (1) Act as US paralegals for US Clients, including initial drafting of documents; (2) Drafting of documents for Mexico clients that want to create Mexico companies.; not investment related; 44600 Guadalajara Jalisco, Mexico; 07/01/2023; 1 hr
2) Jimenez Wealth Legal Advisors, PC: Law firm. Taxation, business, estate planning, Not investment-related, 1558 Crescent Glen. San Antonio, TX 78258, Law Office, Owner/Attorney, 05/2020, 24 hrs/month
3) Jimenez Wealth Multi Family Offices LLC. Current DBA for RIA services. Business consulting.
4)Dominiion Capital LLC; Registered Investment Advisor. 100% owner.; yes investment related; 8620 N New Braunfels Ave Suite 400 San Antonio TX 78217; 0 hrs
5)Insurance Brokerage; insurance broker/agent with various life insurance companies; yes investment related; 8620 N New Braunfels Ave #400
San Antonio TX 78217; 3 hrs
6) JFB holding LLC, holding company for personal managed accounts and future rental real estate purchases,
Start date: 4/25/2022,
Address: 30 N Gould St. Ste R, Sheridian, WY, 82801,
0 hrs/month, 0 hrs during trading,
Not investment related,
No compensation.
7) Jimenez Forkins Sims LLP - Law firm for business, tax, estate planning, asset protection,
Start Date: 12/23/2024,
Address: 5280 Carroll Canyon Rd., Suite 201, San Diego, CA 92121
80 hours/month, 30 hours during trading,
Not investment related,
76-100% of total annual compensation.
CRS (Client Relationship Summary) - RIA
Click below to view Sergio Jimenez-gudino'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®
CFP®
Start date: 2019
Experience
Current
September 19, 2024 - Present
PARK AVENUE SECURITIES LLC
Office #1: 21714 Hardy Oak Suite 100, San Antonio, TX 78258RIA
BD
CRD#: 46173
SAN ANTONIO, TX
Past
November 21, 2023 - November 9, 2024
DOMINION CAPITAL LLC
RIA
CRD#: 328099
SAN ANTONIO, TX
Past
March 31, 2021 - October 24, 2023
SEQUENT PLANNING, LLC
RIA
CRD#: 160381
SAN ANTONIO, TX
Past
May 29, 2020 - March 24, 2021
ANIMUS WEALTH MANAGEMENT, LLC.
RIA
CRD#: 309189
McAllen, TX
Past
October 26, 2017 - May 19, 2020
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
ADDISON, TX
Past
October 24, 2017 - May 19, 2020
NYLIFE SECURITIES LLC
BD
CRD#: 5167
SAN ANTONIO, TX
Past
June 27, 2013 - November 7, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
MODESTO, CA
Past
June 17, 2013 - November 7, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
MODESTO, CA
Past
January 6, 2012 - May 17, 2012
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
PHILADELPHIA, PA
Past
June 13, 2011 - January 6, 2012
INVESTMENT ADVISORS INTERNATIONAL, INC.
RIA
CRD#: 139233
MODESTO, CA
Past
October 24, 2008 - February 4, 2010
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
MODESTO, CA
Past
October 14, 2008 - February 4, 2010
INVESTMENT ADVISORS INTERNATIONAL, INC.
RIA
CRD#: 139233
MODESTO, CA
Past
January 24, 2008 - September 17, 2008
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
CERES, CA
Past
January 24, 2008 - September 17, 2008
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
CERES, CA
Past
August 15, 2006 - February 20, 2008
INVESTMENT ADVISORS INTERNATIONAL, INC.
RIA
CRD#: 139233
MODESTO, CA
Past
March 7, 2005 - February 8, 2008
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
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.Highlighted states indicate IAR registrations
IAR
California(9/19/2024)
IAR
Nevada(1/14/2025)
IAR
Texas(9/20/2024)
IAR
Wyoming(9/23/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
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.
