James A Moore

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
MA	RA	APPROVED	2024-04-24
DE	RA	APPROVED	2023-11-27
PA	RA	APPROVED	2012-07-16
NJ	RA	APPROVED	2003-01-16

MA RA
APPROVED

Since 2024-04-24
DE RA
APPROVED

Since 2023-11-27
PA RA
APPROVED

Since 2012-07-16
NJ RA
APPROVED

Since 2003-01-16

Branch Locations

Hillsborough, NJ • United States

50 Tice Blvd Suite 280, Woodcliff Lake, NJ 07677 • United States

Disclosures

2 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 Yes
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
Elizabeth High School	Elizabeth	NJ	07/1993	Present
Guardian Life Insurance Co Of America	Cranford	NJ	07/2015	09/2018
Park Avenue Securities Llc	Cranford	NJ	07/2015	09/2018
Guardian Life Insurance	Hillsborough	NJ	10/2018	Present
Park Avenue Securities	Hillsborough	NJ	10/2018	Present
Guardian Life Insurance Company	Woodcliff Lake	NJ	10/2018	Present
Park Avenue Securities	Woodcliff Lake	NJ	10/2018	Present

07/1993 → Present

Elizabeth High School

Elizabeth, NJ
07/2015 → 09/2018

Guardian Life Insurance Co Of America

Cranford, NJ
07/2015 → 09/2018

Park Avenue Securities Llc

Cranford, NJ
10/2018 → Present

Guardian Life Insurance

Hillsborough, NJ
10/2018 → Present

Park Avenue Securities

Hillsborough, NJ
10/2018 → Present

Guardian Life Insurance Company

Woodcliff Lake, NJ
10/2018 → Present

Park Avenue Securities

Woodcliff Lake, NJ

Other Businesses

1. M&M Real Estate Holdings, LLC-We purchase, repair and sell residential properties, Start: 01/01/2010, Address: 822 Atkinson Circle, Hillsborough, NJ 08844, 5 bus hrs per month, Investment related, 2. Non Profit Trustee - Hillsborough Jr Raiders Sports-Oversee the operations of the organization,. Start: 07/01/2011, Address: PO Box 7735, Hillsborough, NJ 08844, Hrs per month - Tot/Bus: 10/4, Not investment related, 3. Broker-Broker life insurance, Disability Insurance, Long Term care insurance and fixed annuities from companies other than Guardian or its affiliates,. Start: 04/01/2011, Address: 822 Atkinson Circle, Hillsborough, NJ 08844, Hrs per month - tot/bus: 20/10, Investment related, >10% annual compensation, 4. STRATEGIC WEALTH PARTNERS, INC-Broker of Insurance products, Start: 01/01/2004, Address: 822 Atkinson Circle, Hillsborough, NJ 08844, 10 bus hrs per month, Investment related, 5. Somerset County 200 Club Board Member-Board Member - Involved in the annual operation and purpose of club,. Start: 01/01/2020, Address: PO Box 179 Somerville, NJ 08876, 1 total business hour per month, Not investment related, 6. Planning Alliance Consulting (Valmax Consulting LLC) -Business Consulting for Businesses and estates, Start: 07/01/2022, Address: 822 Atkinson Circle, Hillsborough, NJ 08844, 10 total hours per month; 10 during securities trading hours, Not investment related, Less than 10% annual compensation, 7. Eastpoint Homeowners Association - Appointed Officer Vice President, Start: 11/01/2023, Address: 822 Atkinson Circle, Hillsborough, NJ 08844, 1 total hour per month; 0 during securities trading hours, Not investment related, No annual compensation

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2002-01-09
S63	Uniform Securities Agent State Law Examination	1996-03-14

S65 Uniform Investment Adviser Law Examination

2002-01-09
S63 Uniform Securities Agent State Law Examination

1996-03-14

Other Names

Jame Moore
Jamie Moore
James Anthony Moore

View on SEC IAPD