BA
Benjamin J. Adams
PARK AVENUE SECURITIES LLC
ALDIE, VA
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CRD#: 7201716
BA
Professional summary
Benjamin Josef Adams, who also goes by Ben Adams, Benjamin Adams, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Aldie, Virginia.
Benjamin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Benjamin has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ben Adams | Benjamin Adams
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)NAME: ASHBURN INLINE INV REL: N ADD:25144 Pennywort Ter, Stone Ridge, VA 20105 NATURE: SMALL BUSINESS POSITION: OFFICER START DATE: 1/19/2022 NO HRS/MO: 5 NO HRS/MO DUR TRADING: 0 DUTIES: I am an officer of this organization and participate in providing low cost introduction to hockey through inline. 2)NAME: HOCKEY COACH INV REL: N ADDR: 627 N GLEBE RD, ARLINGTON VA 22203, NATURE: RETAIL SERVICES/PART-TIME EMPLOYMENT POSITION: HOCKEY COACH/COORDINATOR, START:5/15/2023, NO HR/MO: 80 NO HR/MO DUR TRADING: 0, DUTIES: Run, administer, and manage adult and youth ice hockey leagues and coach ice hockey skills and teams.
CRS (Client Relationship Summary) - RIA
Click below to view Benjamin Josef Adams's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Benjamin Josef Adams'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 23, 2024 - Present
PARK AVENUE SECURITIES LLC
Office #2: 11600 Sunrise Valley Drive Suite 100, Reston, VA 20191RIA
BD
CRD#: 46173
ALDIE, VA
Current
May 22, 2024 - Present
PARK AVENUE SECURITIES LLC
Office #1: 11600 Sunrise Valley Drive Suite 100, Reston, VA 20191RIA
BD
CRD#: 46173
RESTON, VA
Past
September 8, 2022 - May 17, 2024
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
Stone Ridge, VA
Past
August 31, 2022 - May 17, 2024
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Stone Ridge, VA
Past
November 2, 2020 - September 1, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
VIENNA, VA
Past
January 16, 2020 - September 1, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
VIENNA, VA
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(7/31/2024)
IAR
Arizona(8/2/2024)
RR
Connecticut(7/19/2024)
IAR
Connecticut(7/19/2024)
RR
Florida(7/19/2024)
IAR
Florida(7/19/2024)
RR
Ohio(11/6/2024)
RR
Virginia(5/23/2024)
IAR
Virginia(5/23/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/16/2020
General Securities Representative ExaminationGeneral 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.
