TA
Travis L. Ames
PARK AVENUE SECURITIES LLC
McKinney, TX
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CRD#: 5074649
TA
Professional summary
Travis L Ames Sr, who also goes by Travis Levell Ames Sr., Travis Levell Ames Sr, Travis Levell Ames, Travis Ames, Travis L Ames, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Mckinney, Texas.
Travis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Travis has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Travis Levell Ames Sr. | Travis Levell Ames Sr | Travis Levell Ames | Travis Ames | Travis L Ames
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) Sale of insurance products not from Guardian-I sell non Guardian insurance products,
Start: 06/01/2017,
Address: 5544 Greenwich Road Suite 303; Virginia Beach, VA 23462,
2 total hours per month; 2 during securities trading hours,
Investment related,
Less than 10% annual compensation,
2 Capital Wealth Advisory Group-help business owners improve their outcomes and devise a plan around executing their ideas into profit
Start: 05/30/2018,
Address: 2444 Seven Kings Rd Virginia Beach VA 23462,
15 total hours per month; 5 during securities trading hours,
Not investment related,
More than 10% annual compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Travis L Ames Sr's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Travis L Ames Sr'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
March 11, 2016 - Present
PARK AVENUE SECURITIES LLC
Office #2: 15303 North Dallas Parkway Tower Ii Suite 550, Addison, TX 75001RIA
BD
CRD#: 46173
McKinney, TX
Current
March 11, 2016 - Present
PARK AVENUE SECURITIES LLC
Office #1: 15303 North Dallas Parkway Tower Ii Suite 550, Addison, TX 75001RIA
BD
CRD#: 46173
Addison, TX
Past
July 1, 2014 - January 13, 2016
OSAIC SERVICES, INC.
RIA
CRD#: 133763
VIRGINIA BEACH, VA
Past
February 25, 2014 - January 13, 2016
OSAIC SERVICES, INC.
BD
CRD#: 133763
VIRGINIA BEACH, VA
Past
August 2, 2013 - February 24, 2014
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
VIRGINIA BEACH, VA
Past
April 24, 2006 - February 24, 2014
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
VIRGINIA BEACH, VA
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
California(9/20/2023)
IAR
California(9/20/2023)
RR
District of Columbia(1/6/2021)
IAR
District of Columbia(2/2/2021)
RR
Florida(1/27/2020)
IAR
Florida(4/13/2022)
RR
Georgia(11/5/2018)
IAR
Georgia(11/5/2018)
RR
Illinois(3/19/2025)
IAR
Illinois(3/28/2025)
RR
Indiana(9/28/2022)
IAR
Indiana(9/28/2022)
RR
Maryland(6/17/2020)
IAR
Maryland(6/17/2020)
RR
Massachusetts(1/8/2020)
IAR
Massachusetts(2/17/2021)
RR
New Jersey(6/17/2025)
IAR
New Jersey(6/18/2025)
RR
North Carolina(3/15/2016)
IAR
North Carolina(12/21/2017)
RR
Texas(5/13/2021)
IAR
Texas(5/13/2021)
RR
Virginia(3/11/2016)
IAR
Virginia(3/11/2016)
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.
