James A Foti

Employer firm

Park Avenue Securities LLC CRD 46173

$19.6B regulatory AUM 38,649 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Park Avenue Securities Llc

10 Hudson Yards, New York, NY 10001 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-04-16
MD	RA	APPROVED	2019-10-16
NJ	RA	APPROVED	2003-01-15

NY RA
APPROVED

Since 2021-04-16
MD RA
APPROVED

Since 2019-10-16
NJ RA
APPROVED

Since 2003-01-15

Branch Locations

Basking Ridge, NJ • United States

52 Forest Ave, Paramus, NJ 07652 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Park Avenue Securities Llc	Parsippany	NJ	07/2015	04/2018
Guardian Life Insurance Company	Parsipanny	NJ	07/2015	04/2018
Guardian Life Insurance Co Of America	Basking Ridge	NJ	04/2018	Present
Park Avenue Securities	Basking Ridge	NJ	04/2018	Present

07/2015 → 04/2018

Park Avenue Securities Llc

Parsippany, NJ
07/2015 → 04/2018

Guardian Life Insurance Company

Parsipanny, NJ
04/2018 → Present

Guardian Life Insurance Co Of America

Basking Ridge, NJ
04/2018 → Present

Park Avenue Securities

Basking Ridge, NJ

Other Businesses

1. Insurance Other than Guardian (CERTIFIED FINANCIAL SERVICES)-Occasionally, a client's insurance need will require me to implement products outside of the Guardian. Start: 08/01/1993, Address: 119 Blackburn Road Basking Ridge, NJ 07920, 40 total hours per month; 25 during securities trading hours, Investment Related, Less than 10% annual compensation,

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2001-01-31
S63	Uniform Securities Agent State Law Examination	1988-03-25

S65 Uniform Investment Adviser Law Examination

2001-01-31
S63 Uniform Securities Agent State Law Examination

1988-03-25

Designations

Certified Financial Planner

Other Names

James Anthony Foti

View on SEC IAPD