JO
Jeffery J. Oconnell
PARK AVENUE SECURITIES LLC
GREELEY, CO 80634
Some features on this profile are disabled
CRD#: 708038
JO
Professional summary
Jeffery James Oconnell, who also goes by Jeffery J Oconnell, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Greeley, Colorado.
Jeffery is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. Jeffery has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 1, Series 26 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jeffery J Oconnell
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. Insurance Sales-The sell of insurance products that are needed by clients, Start: 01/15/2007, Address: 6801 W. 20th Street Suite 212 Greeley, Colorado 80634, 1 non bus hr per month, Investment related, 2. Farming-Farm is leased to tenant who farms and pays 1/3 of crop proceeds to TOC,. Start: 01/08/1957, Address: 2480 Coronado Ct Sidney, Nebr. 69162, 0 hrs per month, Investment related, 3. Insurance sales- Brokerage Clearing House- Brokerage Clearing House offers other insurance company contracts and will be used if the client requests the company or the company offers a better option for client, Start: 08/19/2016, Address: 5701 West 20th Street Suite 100 Greeley Co. 80634, 3 bus hrs per month, Investment related, , 4. OC Sports LLC-This L.L.C. owns the property and facilities that my health club rents for operation. Start: 06/01/2001, Address: 5699-5701 West 20th Street Greeley, CO 80634 1 non bus hr per month, Not investment related, >10% annual compensation, 5) Health club and Tennis club / Club West & OC Sports -own 100 percent of OC Sports LLC and Club West Inc,((dba Work Out West) Start: 01/01/2001, Address: 5701 West 20th Street Greeley, Colo 80634, 15 total hours per month; 15 during securities trading hours, Not investment related, More than 10% annual compensation, 6) Capital Financial Strategies Group, LLC, Start: 1/1/2007, Address: 4660 W. 21st Street Circle Greeley, CO 80634, 1 total hour per month; 0 during securities trading hours, Not Investment Related, No Annual Compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Jeffery James Oconnell's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jeffery James Oconnell'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
June 26, 2014 - Present
PARK AVENUE SECURITIES LLC
Office #1: 5701 W. 20th Street Suite 100, Greeley, CO 80634RIA
BD
CRD#: 46173
GREELEY, CO
Current
June 25, 2014 - Present
PARK AVENUE SECURITIES LLC
Office #1: 6455 South Yosemite Street Suite 425, Greenwood Village, CO 80111RIA
BD
CRD#: 46173
Greenwood Village, CO
Past
February 20, 2007 - June 29, 2012
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
GREELEY, CO
Past
February 5, 2007 - June 29, 2012
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
GREELEY, CO
Past
January 19, 2005 - January 19, 2007
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
RIA
CRD#: 611
GREELEY, CO
Past
November 20, 1985 - December 31, 1995
KFS BD, INC.
BD
CRD#: 490
OMAHA, NE
Past
May 6, 1980 - January 19, 2007
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
BD
CRD#: 611
GREELEY, CO
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(9/19/2017)
IAR
Arizona(9/19/2017)
RR
Colorado(6/25/2014)
IAR
Colorado(6/26/2014)
RR
Iowa(9/24/2024)
IAR
Iowa(9/25/2024)
RR
Nebraska(6/25/2014)
IAR
Nebraska(7/14/2014)
RR
South Dakota(5/19/2016)
IAR
South Dakota(5/20/2016)
RR
Wyoming(6/25/2014)
IAR
Wyoming(7/25/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 4/24/1980
Registered Representative ExaminationPrincipal/Supervisory 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.
