RF
Robert E. Farrell
PARK AVENUE SECURITIES LLC
WALL, NJ 07719
Some features on this profile are disabled
CRD#: 5072257
RF
Professional summary
Robert Edward Farrell, who also goes by Robert E Farrell, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Wall, New Jersey.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Robert has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Robert E Farrell
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. COLTS NECK ZONING BOARD-We hear applications for zoning variances in Colts Neck NJ,
Start: 02/05/2016,
Address: 124 Cedar Drive , Colts Neck, NJ 07722,
5 non bus hrs per month,
Not investment related,
2. BLANTON RESEARCH, LLC,-Business Planning, Management advice,.
Start: 04/01/2016,
Address: 42 Rivers Edge Drive, Colts Neck NJ 07722,
Hrs per month - Tot/Bus: 15/10,
Not investment related,
>10% annual compensation,
3. FINRA Arbitrator-As a FINRA Arbitrator, I could be asked to assist sit on a arbitration panel.,
Start: 10/10/2016,
Address: 42 Rivers Edge Drive Colts Neck NJ 07722,
Hrs per month - Tot/Bus: 10/5,
Not investment related,
4. Robert Farrell- Life and Disability Insurance outside of Guardian as well as Fixed Insurance Products ,
Start: 11/29/2016,
Address: 42 Rivers Edge Drive Colts Neck NJ 07722,
5 bus hrs per month,
Investment related,
5. Trustee-Trustee for a current close family friend,
Start: 04/08/2022,
Address: 42 Rivers Edge Drive, Colts Neck NJ,
1 total hour per month; 1during securities trading hours,
Not investment related,
No annual compensation,
6. PWS Group LLC, 25% owner of LLC created to facilitate payroll and health benefits to administrative staff,
Start: 10/18/2023,
Address: 2111 Route 34 South Wall, NJ 07719,
0 total hour per month; 0 during securities trading hours,
Not investment related,
No annual compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Robert Edward Farrell's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Edward Farrell'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
May 20, 2016 - Present
PARK AVENUE SECURITIES LLC
Office #1: 2111 Rt 34 South Suite 100, Wall, NJ 07719RIA
BD
CRD#: 46173
WALL, NJ
Current
March 30, 2016 - Present
PARK AVENUE SECURITIES LLC
Office #1: 2111 Rt 34 South Suite 100, Wall, NJ 07719RIA
BD
CRD#: 46173
WALL, NJ
Past
October 14, 2014 - September 23, 2015
TULLETT PREBON FINANCIAL SERVICES LLC
BD
CRD#: 28196
NEW YORK, NY
Past
July 18, 2013 - June 19, 2014
CRT CAPITAL GROUP LLC
BD
CRD#: 28830
STAMFORD, CT
Past
January 10, 2011 - June 10, 2013
FIRST NEW YORK SECURITIES L.L.C.
BD
CRD#: 16362
NEW YORK, NY
Past
September 15, 2010 - January 7, 2011
GENESIS SECURITIES, LLC
BD
CRD#: 46992
NEW YORK, NY
Past
June 25, 2009 - June 3, 2010
MORGAN STANLEY
RIA
CRD#: 149777
RED BANK, NJ
Past
June 1, 2009 - June 3, 2010
MORGAN STANLEY
BD
CRD#: 149777
RED BANK, NJ
Past
May 8, 2009 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
RED BANK, NJ
Past
October 24, 2007 - August 8, 2008
COUNTRYWIDE SECURITIES CORPORATION
BD
CRD#: 10598
NEW YORK, NY
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(12/5/2022)
IAR
Alabama(12/5/2022)
RR
Alaska(11/11/2024)
RR
Arizona(7/30/2025)
IAR
Arizona(7/30/2025)
RR
California(9/11/2018)
IAR
California(9/11/2018)
RR
Colorado(3/20/2025)
IAR
Colorado(3/20/2025)
RR
Connecticut(3/20/2019)
IAR
Connecticut(3/20/2019)
RR
District of Columbia(10/26/2022)
RR
Florida(2/15/2017)
IAR
Florida(2/16/2017)
RR
Hawaii(8/23/2018)
IAR
Hawaii(8/27/2018)
RR
Idaho(10/28/2025)
IAR
Idaho(10/28/2025)
RR
Illinois(1/17/2024)
IAR
Illinois(1/18/2024)
RR
Maryland(4/7/2025)
IAR
Maryland(4/7/2025)
RR
Massachusetts(10/24/2018)
IAR
Massachusetts(11/14/2018)
RR
Michigan(4/27/2017)
IAR
Michigan(4/27/2017)
RR
New Jersey(3/30/2016)
IAR
New Jersey(5/20/2016)
RR
New York(10/28/2016)
IAR
New York(4/16/2021)
RR
North Carolina(6/4/2021)
IAR
North Carolina(6/7/2021)
RR
Pennsylvania(8/14/2017)
IAR
Pennsylvania(8/14/2017)
RR
South Carolina(2/9/2018)
IAR
South Carolina(2/9/2018)
RR
Virginia(2/10/2025)
RR
West Virginia(7/26/2022)
IAR
West Virginia(8/5/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
Company Information
PARK AVENUE SECURITIES LLC
CRD#: 46173Wall, NJ 07719TRUST BUT VERIFY
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