JF
Joseph B. Fitzgerald
PARK AVENUE SECURITIES LLC
Holmdel, NJ 07733
Some features on this profile are disabled
CRD#: 5678424
JF
Professional summary
Joseph B Fitzgerald, who also goes by Joseph Brian Fitzgerald, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Holmdel, New Jersey.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Joseph has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joseph Brian Fitzgerald
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. Non guardian insurance products-sell non guardian products, Start: 05/01/2012, Address: 1150 Raritan Road Cranford NJ 07016, 5 bus hrs per month, Investment related, 2. Rental Property under SU & JF MANAGEMENT LLC-Purchased investment property with friend, Start: 10/23/2018, Address: 136 Wadsworth street Syracuse New York 13203, 1 non bus hr per month, Investment related, 3. Rental property Keansburg-I own a rental property, Start: 10/23/2018, Address: 11 Leroy place Keansburg, NJ 07734, 1 bus hr per month, Investment related, 4) Collectibles-buying and selling collectibles - comic books, video games, Pok�mon cards and things of this nature, Start: 03/15/2022, Address: 205 welsh place Morris plains nj 07950, 1 total hour per month; 0 during securities trading hours, Not investment related, Less than 10% annual compensation, 5) Trade Gurus LLC-LLC that was established for retail sale that is not currently active, Start: 12/04/2018, Address: 205 welsh place Morris plains nj 07950, 0 total hour per month, Not investment related, No annual compensation, 6) 807 longboat drive davenport Florida 33896-rental property, Start: 04/28/2023, Address: 807 longboat drive davenport Florida 33896, 1 total hour per month; 0 during securities trading hours, Investment related, Less than 10% annual compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Joseph B Fitzgerald's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joseph B Fitzgerald'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 15, 2015 - Present
PARK AVENUE SECURITIES LLC
Office #1: 101 Crawfords Corner Road Suite 2405, Holmdel, NJ 07733RIA
BD
CRD#: 46173
Holmdel, NJ
Current
September 29, 2009 - Present
PARK AVENUE SECURITIES LLC
Office #1: 101 Crawfords Corner Road Suite 2405, Holmdel, NJ 07733RIA
BD
CRD#: 46173
Holmdel, NJ
Past
June 26, 2009 - July 22, 2009
NEW ENGLAND SECURITIES
BD
CRD#: 615
FAIRFIELD, NJ
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
Arizona(6/26/2018)
IAR
Arizona(6/27/2018)
RR
Arkansas(1/30/2023)
IAR
Arkansas(3/1/2023)
RR
California(4/5/2018)
IAR
California(4/5/2018)
RR
Colorado(10/10/2016)
IAR
Colorado(10/17/2016)
RR
Connecticut(6/11/2019)
RR
Delaware(7/3/2019)
RR
District of Columbia(8/6/2020)
RR
Florida(7/16/2015)
IAR
Florida(2/8/2019)
RR
Georgia(6/19/2019)
IAR
Georgia(6/20/2019)
RR
Illinois(8/29/2018)
IAR
Illinois(8/29/2018)
RR
Louisiana(7/23/2020)
IAR
Louisiana(7/27/2020)
RR
Maryland(12/5/2017)
RR
Massachusetts(11/25/2019)
IAR
Massachusetts(11/4/2025)
RR
Mississippi(10/7/2015)
RR
Nevada(1/4/2019)
IAR
Nevada(7/18/2019)
RR
New Jersey(9/29/2009)
IAR
New Jersey(5/15/2015)
RR
New Mexico(7/17/2018)
RR
New York(10/28/2014)
IAR
New York(4/16/2021)
IAR
North Carolina(12/7/2015)
RR
North Carolina(12/9/2015)
RR
Ohio(5/15/2019)
RR
Pennsylvania(1/29/2018)
IAR
Pennsylvania(1/29/2018)
RR
Rhode Island(3/17/2020)
IAR
Rhode Island(3/20/2020)
RR
South Carolina(1/23/2018)
IAR
South Carolina(1/24/2018)
RR
Tennessee(2/11/2025)
RR
Texas(6/16/2016)
IAR
Texas(6/16/2016)
RR
Vermont(2/23/2017)
IAR
Vermont(2/24/2017)
RR
Virginia(3/27/2023)
RR
Washington(2/2/2017)
IAR
Washington(2/2/2017)
Exams
State Security Law Exam
State Security Law 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.
