Jeffery A Smith

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
OK	RA	APPROVED	2025-05-15
IL	RA	APPROVED	2024-01-04
VA	RA	APPROVED	2023-08-11
DC	RA	APPROVED	2023-01-05
NY	RA	APPROVED	2022-07-11
FL	RA	APPROVED	2022-05-20
NE	RA	APPROVED	2021-09-01
TX	RA	APPROVED	2017-03-08
PA	RA	APPROVED	2016-09-07
WV	RA	APPROVED	2016-06-24
SC	RA	APPROVED	2016-06-15
NJ	RA	APPROVED	2016-03-30
OH	RA	APPROVED	2016-03-30
KS	RA	APPROVED	2016-03-29
NC	RA	APPROVED	2016-03-09

OK RA
APPROVED

Since 2025-05-15
IL RA
APPROVED

Since 2024-01-04
VA RA
APPROVED

Since 2023-08-11
DC RA
APPROVED

Since 2023-01-05
NY RA
APPROVED

Since 2022-07-11
FL RA
APPROVED

Since 2022-05-20
NE RA
APPROVED

Since 2021-09-01
TX RA
APPROVED

Since 2017-03-08
PA RA
APPROVED

Since 2016-09-07
WV RA
APPROVED

Since 2016-06-24
SC RA
APPROVED

Since 2016-06-15
NJ RA
APPROVED

Since 2016-03-30
OH RA
APPROVED

Since 2016-03-30
KS RA
APPROVED

Since 2016-03-29
NC RA
APPROVED

Since 2016-03-09

Branch Locations

Mooresville, NC • United States

6115 Park South Drive Suite 200, Charlotte, NC 28210 • 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

Organization	City	State	From	To
Guardian Life Insurance Company	Huntersville	NC	03/2016	03/2018
Park Avenue Securities Llc	Huntersville	NC	03/2016	03/2018
Guardian Life Insurance	Charlotte	NC	03/2018	08/2018
Park Avenue Securities	Charlotte	NC	03/2018	08/2018
Guardian Life Insurance	Cornelius	NC	08/2018	01/2025
Park Avenue Securities	Cornelius	NC	08/2018	01/2025
Guardian Life Insurance Company	Mooresville	NC	06/2024	Present
Park Avenue Securities	Mooresville	NC	06/2024	Present
Guardian Life Insurance	Charlotte	NC	01/2025	Present
Park Avenue Securities	Charlotte	NC	01/2025	Present

03/2016 → 03/2018

Guardian Life Insurance Company

Huntersville, NC
03/2016 → 03/2018

Park Avenue Securities Llc

Huntersville, NC
03/2018 → 08/2018

Guardian Life Insurance

Charlotte, NC
03/2018 → 08/2018

Park Avenue Securities

Charlotte, NC
08/2018 → 01/2025

Guardian Life Insurance

Cornelius, NC
08/2018 → 01/2025

Park Avenue Securities

Cornelius, NC
06/2024 → Present

Guardian Life Insurance Company

Mooresville, NC
06/2024 → Present

Park Avenue Securities

Mooresville, NC
01/2025 → Present

Guardian Life Insurance

Charlotte, NC
01/2025 → Present

Park Avenue Securities

Charlotte, NC

Other Businesses

1. Rotary Club of Troutman - President-The responsibilities include leading the board and conducting the business of the club,. Start: 07/01/2017, Address: PO Box 813 Troutman, NC 28166, 6 total hours per month 4 during securities trading hours, Not investment related, No annual compensation, 2. Insurance other than Guardian-If client does not qualify or Guardian is not the best product for the client's situation, then I may have to use another provider,., Start: 07/01/2018, Address: 134 N. Eastway Drive Troutman, NC 28166, 5 total hours per month 5 during securities trading hours, Investment related, Less than 10% annual compensation,

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2016-03-08

S66 Uniform Combined State Law Examination

2016-03-08

Designations

Certified Financial Planner

Other Names

Jeff Smith
Jeffery Allen Smith

View on SEC IAPD