BC
Buna B. Cumbie
PARK AVENUE SECURITIES LLC
Columbia, MD 21046
Some features on this profile are disabled
CRD#: 58526
BC
Professional summary
Buna B Cumbie II, who also goes by Buna Bishop Cumbie II, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Columbia, Maryland.
Buna is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1969. Buna has worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Buna Bishop Cumbie Ii
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-occasionally sell an insurance policy with a company other than Guardian on an as needed basis.
Start: 11/01/1987
Address: 9891 Broken Land Parkway Suite 103 Columbia, MD 21046
1 bus hr per month
Investment related
2) Cumbie Power of Attorney-spouse
Start: 11/21/2011
Address: 10021 Cape Ann Drive, Columbia, MD 21046
0 total hours per month
Not Investment related
no compensation
CRS (Client Relationship Summary) - RIA
Click below to view Buna B Cumbie II's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Buna B Cumbie II'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
January 1, 2001 - Present
PARK AVENUE SECURITIES LLC
Office #1: 9891 Broken Land Pkwy Suite 103, Columbia, MD 21046RIA
BD
CRD#: 46173
Columbia, MD
Current
May 3, 1999 - Present
PARK AVENUE SECURITIES LLC
Office #1: 9891 Broken Land Pkwy Suite 103, Columbia, MD 21046RIA
BD
CRD#: 46173
Columbia, MD
Past
March 14, 1989 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
July 1, 1987 - February 17, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
BD
CRD#: 6518
Past
January 24, 1984 - July 9, 1987
PW SECURITIES, INC.
BD
CRD#: 6775
Past
March 31, 1981 - December 19, 1983
CARDELL & ASSOCIATES, INCORPORATED
BD
CRD#: 7700
Past
May 26, 1978 - May 6, 1981
INDEPENDENT FINANCIAL PLANNERS CORPORATION
BD
CRD#: 653
Past
April 3, 1969 - July 8, 1978
VP DISTRIBUTORS LLC
BD
CRD#: 3036
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(2/28/2008)
RR
California(6/29/2009)
RR
Colorado(10/25/2002)
RR
District of Columbia(5/3/1999)
RR
Florida(5/3/1999)
IAR
Florida(5/26/2020)
RR
Georgia(7/26/2002)
RR
Maryland(5/3/1999)
IAR
Maryland(1/1/2001)
RR
Massachusetts(9/10/2021)
RR
Minnesota(6/9/2004)
RR
New Jersey(1/4/2005)
RR
North Carolina(10/29/2002)
RR
Ohio(5/9/2000)
RR
Pennsylvania(5/3/1999)
IAR
Pennsylvania(4/5/2011)
RR
South Carolina(1/4/2005)
IAR
South Carolina(5/18/2018)
RR
Virginia(5/3/1999)
IAR
Virginia(11/9/2007)
RR
West Virginia(1/4/2005)
RR
Wisconsin(1/4/2005)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 4/2/1969
Registered Representative ExaminationSRO 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.
