James E Joly

Current Employers

Park Avenue Securities Llc

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2025-01-09
IN	RA	APPROVED	2024-12-02
CA	RA	APPROVED	2024-11-27
CT	RA	APPROVED	2024-11-27
PA	RA	APPROVED	2024-11-27
TX	RA	APPROVED_RES	2024-11-27
RI	RA	APPROVED	2024-11-12

FL RA
APPROVED

Since 2025-01-09
IN RA
APPROVED

Since 2024-12-02
CA RA
APPROVED

Since 2024-11-27
CT RA
APPROVED

Since 2024-11-27
PA RA
APPROVED

Since 2024-11-27
TX RA
APPROVED_RES

Since 2024-11-27
RI RA
APPROVED

Since 2024-11-12

Branch Locations

2000 Chapel View Blvd Suite 215, Cranston, RI 02920 • United States

Disclosures

3 disclosure categories 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 Yes
Investigation No
Customer complaint Yes
Termination Yes

Employment History

Organization	City	State	From	To
Lpl Financial Llc	East Greenwich	RI	07/1996	06/2017
Morgan Stanley	Newport	RI	06/2017	06/2017
Voya Financial Advisors, Inc.	East Greenwich	RI	08/2017	06/2018
Cantella & Co., Inc.	Malden	MA	07/2018	06/2023
Cambridge Investment Research Advisors, Inc.	Fairfield	IA	12/2022	10/2024
Cambridge Investment Research, Inc.	Fairfield	IA	12/2022	10/2024
Cantella & Co., Inc.	Malden	MA	07/2018	12/2022
Guardian Life Insurance Company	East Greenwich	RI	10/2024	05/2025
Park Avenue Securities	East Greenwich	RI	10/2024	05/2025
Guardian Life Insurance Company	Cranston	RI	05/2025	Present
Park Avenue Securities	Cranston	RI	05/2025	Present

07/1996 → 06/2017

Lpl Financial Llc

East Greenwich, RI
06/2017 → 06/2017

Morgan Stanley

Newport, RI
08/2017 → 06/2018

Voya Financial Advisors, Inc.

East Greenwich, RI
07/2018 → 06/2023

Cantella & Co., Inc.

Malden, MA
12/2022 → 10/2024

Cambridge Investment Research Advisors, Inc.

Fairfield, IA
12/2022 → 10/2024

Cambridge Investment Research, Inc.

Fairfield, IA
07/2018 → 12/2022

Cantella & Co., Inc.

Malden, MA
10/2024 → 05/2025

Guardian Life Insurance Company

East Greenwich, RI
10/2024 → 05/2025

Park Avenue Securities

East Greenwich, RI
05/2025 → Present

Guardian Life Insurance Company

Cranston, RI
05/2025 → Present

Park Avenue Securities

Cranston, RI

Previous Registrations

2022-12-09 → 2024-11-05

Cambridge Investment Research Advisors, Inc.

East Greenwich, RI
2018-07-27 → 2023-06-01

Cantella & Co., Inc.

East Greenwich, RI

Malden, MA

East Greenwich, RI

Malden, MA
2017-09-19 → 2018-07-17

Voya Financial Advisors, Inc.

Danvers, MA

East Greenwich, RI
2017-06-02 → 2017-06-30

Morgan Stanley

Newport, RI
1997-01-01 → 2017-06-12

Lpl Financial Llc

East Greenwich, RI

Other Businesses

1. Greenwich Bay Wealth Management, LLC: Sole owner LLC, Start Date: 06/01/2018, Address: 2000 Chapel View Blvd Suite 215 Cranston, RI 02920, 160 total hours/month; 40 during securities trading hours, Investment Related, >10% Annual Compensation, 2. Good N' You!-Band, Start Date: 04/01/2017, Address: N/A, 4 total hours per month; 0 during securities trading hours, Not Investment Related, <10% Annual Compensation, 3. Outside Insurance, Start Date: 5/1/2026, Nature: Insurance outside of Guardian, Address: 2000bchapel view blvd, Ste 215, Cranston RI 02920, Duties: Broker selling insurance outside of Guardian, 1 total hr; 1 during securities trading hours, Investment Related,

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-10-30
S63	Uniform Securities Agent State Law Examination	1991-11-25

S65 Uniform Investment Adviser Law Examination

1996-10-30
S63 Uniform Securities Agent State Law Examination

1991-11-25

Other Names

Jim Joly
James Ernest Joly

View on SEC IAPD