Warren Phillip Hoppe

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
NM	RA	APPROVED	2020-09-11
CA	RA	APPROVED	2004-04-27

NM RA
APPROVED

Since 2020-09-11
CA RA
APPROVED

Since 2004-04-27

Branch Locations

Rio Rancho, NM • United States

2875 Michelle Drive Suite 110, Irvine, CA 92606 • 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
Warren Hoppe - Self Employed	Ventura	CA	07/1993	Present
Guardian Life Insurance Company	Pasadena	CA	11/1999	12/2020
Park Avenue Securities	Ventura	CA	12/1999	12/2020
Guardian Life Insurance	Claremont	CA	12/2020	11/2021
Park Avenue Securities	Claremont	CA	12/2020	11/2021
Guardian Life Insurance	Rio Rancho	NM	11/2021	Present
Park Avenue Securites	Rio Rancho	NM	11/2021	Present

07/1993 → Present

Warren Hoppe - Self Employed

Ventura, CA
11/1999 → 12/2020

Guardian Life Insurance Company

Pasadena, CA
12/1999 → 12/2020

Park Avenue Securities

Ventura, CA
12/2020 → 11/2021

Guardian Life Insurance

Claremont, CA
12/2020 → 11/2021

Park Avenue Securities

Claremont, CA
11/2021 → Present

Guardian Life Insurance

Rio Rancho, NM
11/2021 → Present

Park Avenue Securites

Rio Rancho, NM

Other Businesses

1. INSURANCE SALES-Life, Health, DI & LTC, Start: 10/01/1975, Address: PO Box 44218 Rio Rancho, NM 87174, 2 total hours per month, 2 during securities trading hours, Less than 10% annual compensation, Investment related,

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	1999-10-18

S66 Uniform Combined State Law Examination

1999-10-18

Designations

Chartered Financial Consultant

Other Names

Warren P Hoppe
Warren Phillip Hoppe

View on SEC IAPD