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Current Employers
Park Avenue Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-16
GA RA APPROVED 2017-09-18
DE RA APPROVED 2015-04-24
TX RA APPROVED_RES 2015-04-17
CT RA APPROVED 2015-03-31
FL RA APPROVED 2015-01-22
NJ RA APPROVED 2014-01-31
  • NY RA
    APPROVED
    Since 2021-04-16
  • GA RA
    APPROVED
    Since 2017-09-18
  • DE RA
    APPROVED
    Since 2015-04-24
  • TX RA
    APPROVED_RES
    Since 2015-04-17
  • CT RA
    APPROVED
    Since 2015-03-31
  • FL RA
    APPROVED
    Since 2015-01-22
  • NJ RA
    APPROVED
    Since 2014-01-31

Branch Locations

14021 Metropolis Ave., Fort Myers, FL 33912 • 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
OrganizationCityStateFromTo
The Guardian Life Ins. Co. Woodbury NY 09/1988 12/2017
Park Avenue Securities Llc Woodbury NY 05/1999 12/2017
Guardian Life Insurance Company Fort Myers FL 01/2018 Present
Park Avenue Securities Fort Myers FL 01/2018 Present
Guardian Life Insurance Coral Gables FL 02/2018 08/2019
Park Avenue Securities Coral Gables FL 02/2018 08/2019
  • 09/1988 → 12/2017
    The Guardian Life Ins. Co.
    Woodbury, NY
  • 05/1999 → 12/2017
    Woodbury, NY
  • 01/2018 → Present
    Guardian Life Insurance Company
    Fort Myers, FL
  • 01/2018 → Present
    Park Avenue Securities
    Fort Myers, FL
  • 02/2018 → 08/2019
    Guardian Life Insurance
    Coral Gables, FL
  • 02/2018 → 08/2019
    Park Avenue Securities
    Coral Gables, FL
Other Businesses

1. Book Author - P.O.P.E. The Principles of Prosperity Economics Start: 08/10/2012 Address: 14021 Metropolis Ave Fort Myers, FL 33912 10 non bus hrs per month Not investment related 2. Outside Insurance life, DI, health, annuities, LTC Start: 01/01/1993 Address: 14021 Metropolis Ave Fort Myers, FL 33912 10 bus hrs per month Investment related 3. SG Investment Group LLC Real Estate LLC for real estate purchase and rentals. Start: 04/01/2005 Address: RR Fred Spear's office in Florida - Crestview, FL 32536 0 hrs per month Investment related 4. Applied Financial Group, LLC DBA Applied Financial Group - Inactive Start: 07/11/2014 Address: 250 Crossways Park Drive, Woodbury, NY 11797 0 hrs per month Investment related 5. Applied Financial Group, LLC Set-up for recently changed Florida Domicile Start: 03/24/2016 Address: 31 Ocean Reef Dr. C101-PMB 167 Key Largo, Fl 33037 20-30 bus hrs per month Not investment related 6. RSS Pension Group, LLC, Start Date: 2/28/2023, Address: 5924 Summerin Commons Way Suite 1205, Ft. Myers, FL 33907, 3 total hours per month; 3 during securities trading hours, Not Investment related, Less than 10% Annual Compensation,

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-09-20
S63 Uniform Securities Agent State Law Examination 1989-07-10
  • S65 Uniform Investment Adviser Law Examination
    1999-09-20
  • S63 Uniform Securities Agent State Law Examination
    1989-07-10
Other Names
  • Richard Alan Pope

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