Barton S. Pearce
PARK AVENUE SECURITIES LLC | Financial Advisor
IRVINE, CA 92606
CRD#: 5871524
Professional summary
Barton S Pearce, who also goes by Bart S Pearce, Barton Scott Pearce, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Irvine, California.
Barton is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Barton has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
What are your service offerings?
Retirement Planning
Investment Strategies
Financial Planning
Risk Management & Insurance
Estate Planning
Do you have an area of expertise or specialization?
Withdrawl and Income Strategie...
Porfolio optimization
Saving for Retirement
Which demographics do you typically serve?
Gen X (44-59)
Baby Boomers (60-78)
How do you get paid?
Commission
Percentage of Assets
Are you a "fiduciary"?
Yes
Aliases
Bart S Pearce | Barton Scott Pearce
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. Other Insurance Companies-I will from time to time offer other carriers products if the client has a need that requires them and only for products which I am appropriately licensed.
Start: 01/01/2011
Address: 2057 Fair Oaks Ave
South Pasadena, CA 91030
3 bus hrs per month
Investment related
CRS (Client Relationship Summary) - RIA
Click below to view Barton S Pearce's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Barton S Pearce'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 2, 2014 - Present
PARK AVENUE SECURITIES LLC
Office #1: 2875 Michelle Drive Suite 110, Irvine, CA 92606RIA
BD
CRD#: 46173
IRVINE, CA
Current
December 19, 2013 - Present
PARK AVENUE SECURITIES LLC
Office #1: 2875 Michelle Drive Suite 110, Irvine, CA 92606RIA
BD
CRD#: 46173
IRVINE, CA
Past
July 31, 2013 - December 11, 2013
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
ONTARIO, CA
Past
August 2, 2012 - December 11, 2013
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
ONTARIO, CA
Past
December 20, 2010 - August 7, 2012
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
RANCHO CUCAMONGA, CA
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(3/14/2019)
IAR
Arizona(3/14/2019)
RR
California(12/19/2013)
IAR
California(1/2/2014)
RR
Illinois(5/10/2023)
IAR
Illinois(5/18/2023)
RR
Indiana(3/17/2022)
IAR
Indiana(3/21/2022)
RR
Iowa(8/10/2021)
IAR
Iowa(8/10/2021)
RR
Maryland(4/30/2021)
IAR
Maryland(4/30/2021)
RR
Massachusetts(4/19/2023)
IAR
Massachusetts(6/8/2023)
RR
Minnesota(8/5/2019)
IAR
Minnesota(8/13/2019)
RR
Nevada(8/27/2021)
IAR
Nevada(9/10/2021)
RR
New York(9/11/2023)
IAR
New York(9/13/2023)
RR
Ohio(1/30/2023)
IAR
Ohio(1/30/2023)
RR
Virginia(7/29/2025)
IAR
Virginia(7/30/2025)
RR
Washington(8/28/2015)
IAR
Washington(8/28/2015)
RR
West Virginia(3/6/2024)
IAR
West Virginia(3/11/2024)
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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
Financial AdvisorCRD#: 46173Irvine, CA 92606TRUST BUT VERIFY
Monitor Barton Pearce
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
