JN
Jeffrey E. Newman
PARK AVENUE SECURITIES LLC
Miami, FL 33131
Some features on this profile are disabled
CRD#: 824595
JN
Professional summary
Jeffrey E Newman, who also goes by Jeffrey Earl Newman, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Miami, Florida.
Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1976. Jeffrey has worked at 2 firms and has passed the Series 66, Series 63, Series 6TO, Series 22TO, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jeffrey Earl Newman
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. NPC Financial, Inc DBA National Planning Corp-Guardian General Agency,
Start: 01/01/2009,
Address: 2 S Biscayne Blvd # 1740 Miami, Fl 33131,
200 total hours per month, 160 during securities trading hours,
>10% annual compensation,
Investment related,
2. Greater Miami Jewish Federation Board of Directors,
Start: 6/10/2020,
Address: 4200 Biscayne Blvd., Miami FL 33137,
10 total hours per month, 10 during securities trading hours,
No Annual Compensation,
Not Investment Related,
3. NPC of Palm Beach INC, Owner, entity created to hold the lease of office,
Start: 04/28/2014,
Address: 2 S Biscayne Blvd., Miami, Fl 33131,
1 total hour per month, 1 during securities trading hours,
No annual compensation,
Not investment related
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey E Newman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey E Newman'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
October 20, 2005 - Present
PARK AVENUE SECURITIES LLC
Office #1: One Biscayne Tower 2 South Biscayne Blvd 1740, Miami, FL 33131RIA
BD
CRD#: 46173
Miami, FL
Current
May 3, 1999 - Present
PARK AVENUE SECURITIES LLC
Office #1: One Biscayne Tower 2 South Biscayne Blvd 1740, Miami, FL 33131RIA
BD
CRD#: 46173
Miami, FL
Past
July 15, 1976 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
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(12/20/2018)
IAR
Alabama(10/11/2024)
RR
Alaska(10/8/2010)
RR
Arizona(1/31/2005)
IAR
Arizona(3/22/2018)
RR
Arkansas(7/1/2024)
IAR
Arkansas(7/1/2024)
RR
California(12/4/2001)
IAR
California(8/28/2018)
RR
Colorado(1/31/2005)
RR
Connecticut(2/13/2014)
RR
Delaware(8/4/2025)
RR
District of Columbia(6/20/2023)
RR
Florida(5/3/1999)
IAR
Florida(10/20/2005)
RR
Georgia(12/4/2001)
RR
Illinois(1/31/2005)
RR
Indiana(12/14/2010)
RR
Iowa(9/8/2022)
RR
Kansas(5/6/2015)
IAR
Kansas(5/6/2015)
RR
Kentucky(12/2/2008)
RR
Louisiana(1/23/2013)
RR
Maine(3/6/2015)
RR
Maryland(2/22/2013)
IAR
Maryland(1/30/2018)
RR
Massachusetts(10/8/2020)
RR
Michigan(9/28/2020)
RR
Mississippi(7/9/2019)
RR
Missouri(11/25/2009)
RR
Montana(1/4/2022)
RR
Nevada(10/25/2016)
RR
New Hampshire(9/5/2025)
RR
New Jersey(6/30/2000)
RR
New Mexico(11/24/2020)
RR
New York(12/4/2001)
IAR
New York(4/16/2021)
RR
North Carolina(2/1/2005)
IAR
North Carolina(11/9/2017)
RR
Ohio(1/31/2005)
RR
Oregon(1/9/2015)
RR
Pennsylvania(12/4/2001)
RR
Puerto Rico(4/24/2015)
RR
Rhode Island(12/1/2017)
IAR
Rhode Island(12/1/2017)
RR
South Carolina(2/22/2013)
RR
Tennessee(12/6/2018)
RR
Texas(12/4/2001)
IAR
Texas(10/14/2019)
RR
Utah(1/23/2025)
RR
Virginia(12/4/2001)
IAR
Virginia(10/18/2019)
RR
Washington(1/2/2008)
RR
West Virginia(4/9/2021)
IAR
West Virginia(4/12/2021)
RR
Wisconsin(6/14/2016)
IAR
Wisconsin(1/25/2018)
RR
Wyoming(11/6/2018)
IAR
Wyoming(11/6/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 7/9/1976
Registered Representative ExaminationPrincipal/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.
Company Information
PARK AVENUE SECURITIES LLC
CRD#: 46173Miami, FL 33131TRUST BUT VERIFY
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