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Robert Joseph Swindle

Park Avenue Securities LLC

Summerville, SC

CRD 6111339

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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

AuthorityCategoryStatusDate
MA RA APPROVED 2026-06-24
WA RA APPROVED 2024-08-06
VA RA APPROVED 2024-06-26
GA RA APPROVED 2023-12-08
MI RA APPROVED 2022-11-09
NC RA APPROVED 2019-02-01
AL RA APPROVED 2019-01-03
FL RA APPROVED 2018-03-14
SC RA APPROVED 2018-03-01
  • MA RA
    APPROVED
    Since 2026-06-24
  • WA RA
    APPROVED
    Since 2024-08-06
  • VA RA
    APPROVED
    Since 2024-06-26
  • GA RA
    APPROVED
    Since 2023-12-08
  • MI RA
    APPROVED
    Since 2022-11-09
  • NC RA
    APPROVED
    Since 2019-02-01
  • AL RA
    APPROVED
    Since 2019-01-03
  • FL RA
    APPROVED
    Since 2018-03-14
  • SC RA
    APPROVED
    Since 2018-03-01

Branch Locations

700 Nexton Square Dr., Summerville, SC 29486 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Mass Mutual Life Insurance Company Mount Pleasant SC 10/2012 01/2018
Mml Investors Services Mount Pleasant SC 11/2012 01/2018
Guardian Life Insurance Co Of America Summerville SC 02/2018 Present
Park Avenue Securities Summerville SC 02/2018 Present
  • 10/2012 → 01/2018
    Mass Mutual Life Insurance Company
    Mount Pleasant, SC
  • 11/2012 → 01/2018
    Mml Investors Services
    Mount Pleasant, SC
  • 02/2018 → Present
    Guardian Life Insurance Co Of America
    Summerville, SC
  • 02/2018 → Present
    Park Avenue Securities
    Summerville, SC
Previous Registrations
Other Businesses

1. Insurance other than Guardian This will allow to put client in products if they cant be placed with Guardian Start: 01/29/2018 Address: 136 West Richardson Avenue Summerville, SC 29483 5 bus hrs per month Investment related

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-07-05
S63 Uniform Securities Agent State Law Examination 2013-01-15
  • S65 Uniform Investment Adviser Law Examination
    2017-07-05
  • S63 Uniform Securities Agent State Law Examination
    2013-01-15
Other Names
  • Robert Joseph Swindle
  • Rj Swindle
  • Robert Swindle
  • Robert Jospeh Swindle

View on SEC IAPD

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