James M. Matthews
PARK AVENUE SECURITIES LLC
Charlotte, NC 28210
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CRD#: 5331004
Professional summary
James Michael Matthews, CFP®, who also goes by James Matthews, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Charlotte, North Carolina.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. James has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Matthews
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) Outside Insurance Sales-There may be times when another carrier's product may best suit a client or potential client's needs, Start: 03/06/2017, Address: 6115 Park South Dr. Ste 200 Charlotte, NC 28210, 5 bus hrs per month; 1 hour during securities trading, Investment related, Less than 10% Annual Compensation, 2) Author-Write on behalf of firm for publication, Start: 09/27/2017, Address:6115 Park South Dr. Ste 200 Charlotte, NC 28210, 5 bus hrs per month, Not investment related, 3) Public Speaking-Paid public speaking outside the scope of my role at Consolidated Planning, Guardian, and Park Ave. Securities,. Start: 01/29/2019, Address: 7305 McWhirter Rd.Mint Hill, NC 28277, 5 bus hrs per month, Not investment related, 4) Investment Real Estate-Rental Real Estate owned Tenants by the Entirety with my wife and leased to an immediate family member, Start: 01/01/2020 Address: 2048 Westminster Lane Matthews, NC 28104, 10 hours per month; 0 during normal securities trading hours, Investment related, >10% annual compensation, 5) Peer Review Board-Journal of Financial Planning, Start: 07/01/2021, Address: 1290 Broadway, Suite 1625, Denver, CO 80203, 1 total hours per month; 0 during securities trading hours, Not investment related, No annual compensation,
CRS (Client Relationship Summary) - RIA
Click below to view James Michael Matthews's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Michael Matthews'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: 2013
Experience
Current
February 24, 2017 - Present
PARK AVENUE SECURITIES LLC
Office #1: 6115 Park South Drive Suite 200, Charlotte, NC 28210RIA
BD
CRD#: 46173
Charlotte, NC
Current
February 24, 2017 - Present
PARK AVENUE SECURITIES LLC
Office #1: 6115 Park South Drive Suite 200, Charlotte, NC 28210RIA
BD
CRD#: 46173
Charlotte, NC
Past
March 4, 2013 - March 10, 2017
ALIGHT FINANCIAL ADVISORS, LLC
RIA
CRD#: 158744
CHARLOTTE, NC
Past
March 4, 2013 - March 10, 2017
ALIGHT FINANCIAL SOLUTIONS, LLC
BD
CRD#: 36509
CHARLOTTE, NC
Past
May 22, 2008 - March 1, 2013
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
CHARLOTTE, NC
Past
July 3, 2007 - March 1, 2013
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
CHARLOTTE, NC
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
Florida(3/15/2021)
IAR
Florida(3/17/2021)
RR
Georgia(6/9/2022)
IAR
Georgia(6/10/2022)
RR
Indiana(5/11/2023)
IAR
Indiana(5/11/2023)
RR
Maryland(11/1/2022)
IAR
Maryland(11/1/2022)
RR
North Carolina(2/24/2017)
IAR
North Carolina(2/24/2017)
RR
Ohio(8/5/2025)
IAR
Ohio(8/5/2025)
RR
South Carolina(1/31/2019)
IAR
South Carolina(1/31/2019)
RR
Tennessee(10/3/2025)
RR
Virginia(11/7/2019)
IAR
Virginia(11/7/2019)
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.
