Robert R. Sweeney

PARK AVENUE SECURITIES LLC

Addison, TX 75001

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CRD#: 865484

Professional summary

Robert R Sweeney, who also goes by Bob Sweeney, Robert Roy Sweeney, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Addison, Texas.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1979. Robert has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bob Sweeney | Robert Roy Sweeney

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. Insurers outside Guardian Brokerage contract with outside insurance providers to either provide resources unavailable to clients through Guardian Start: 01/08/2018 Address: 15303 N. Dallas Parkway, Suite 550 Addison, TX 75001 Hrs per month - tot/bus: 10/5 Investment related 2. Roehampton Court Homeowners Association-President, Start: 10/24/2023, Address: 18419 Tettenhall Dr, Dallas, TX 75252, 4 total hours a month; 1 during securities trading hours, No compensation, Not investment related;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert R Sweeney's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Robert R Sweeney's CRS (Customer Relationship Summary).

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®

None

Experience

Current

July 20, 2016 - Present

PARK AVENUE SECURITIES LLC

Office #1: 15303 North Dallas Parkway Tower Ii Suite 550, Addison, TX 75001

RIA

CRD#: 46173

Addison, TX

Current

June 20, 2016 - Present

PARK AVENUE SECURITIES LLC

Office #1: 15303 North Dallas Parkway Tower Ii Suite 550, Addison, TX 75001

RIA

CRD#: 46173

Addison, TX

Past

August 28, 2014 - November 12, 2015

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

ADDISON, TX

Past

February 13, 2007 - August 29, 2014

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

PLANO, TX

Past

March 30, 2005 - January 25, 2007

HORNOR, TOWNSEND & KENT, LLC

RIA

CRD#: 4031

ADDISON, TX

Past

March 28, 2005 - January 25, 2007

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

ADDISON, TX

Past

August 28, 2003 - April 8, 2005

SPECTRUM STRATEGIES, L.L.C.

RIA

CRD#: 115318

ADDISON, TX

Past

August 26, 2003 - March 24, 2005

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

ADDISON, TX

Past

August 22, 2003 - March 24, 2005

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

September 2, 1997 - August 15, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

DALLAS, TX

Past

September 1, 1997 - August 15, 2003

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

September 1, 1997 - August 15, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

July 2, 1990 - October 11, 1996

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

November 15, 1989 - June 29, 1990

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

June 17, 1987 - December 19, 1989

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

March 13, 1986 - June 25, 1987

LEHMAN BROTHERS INC.

CRD#: 7506

Past

November 23, 1985 - February 19, 1986

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

February 28, 1985 - November 12, 1985

TEXVEST SECURITIES CORPORATION

CRD#: 13621

Past

April 8, 1981 - March 16, 1984

CIBC WORLD MARKETS CORP.

CRD#: 630

Past

May 1, 1979 - May 7, 1981

E. F. HUTTON & COMPANY INC

CRD#: 235

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".

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)

Broker-Dealer Firm Regulated by FINRA (New York district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

California
(1/7/2025)

IAR

California
(1/7/2025)

IAR

Iowa
(1/9/2025)

Texas
(6/27/2016)

IAR

Texas
(7/20/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/7/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/26/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/21/1979

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/13/2005

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

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)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PAS FORM ADV REVISED FIRM BROCHURE (3/19/2025)

VESTWISE (3/19/2025)

PARK AVENUE UMA/SMA SELECT AND STRATEGIST SELECT/STRATEGIST SELECT PLUS (3/19/2025)

PARK AVENUE SIGNATURE PORTFOLIO (3/19/2025)

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	Cover Page	Report
01/22/2025	Cover Page	Report
11/15/2023	Cover Page	Report

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.

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Firm Stability Insights

Robert R. Sweeney

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert R Sweeney's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Robert R Sweeney's CRS (Customer Relationship Summary).

Certified licenses

Experience

PARK AVENUE SECURITIES LLC

HORNOR, TOWNSEND & KENT, LLC

ALLSTATE FINANCIAL SERVICES, LLC

HORNOR, TOWNSEND & KENT, LLC

HORNOR, TOWNSEND & KENT, LLC

SPECTRUM STRATEGIES, L.L.C.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

A. G. EDWARDS & SONS, INC.

CITIGROUP GLOBAL MARKETS INC.

CIBC WORLD MARKETS CORP.

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

TEXVEST SECURITIES CORPORATION

CIBC WORLD MARKETS CORP.

E. F. HUTTON & COMPANY INC

Primary Firm SEC Registration

PARK AVENUE SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/7/2015

Series 63

Date: 1/26/1984

SIE

Date: 10/1/2018

Series 7

Date: 4/21/1979

Series 24

Date: 6/13/2005

FINRA

Current Firm

PARK AVENUE SECURITIES LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

PARK AVENUE SECURITIES LLC

TRUST BUT VERIFY

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