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James Rossi

Park Avenue Securities LLC

San Diego, CA

CRD 6859127

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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
AL RA APPROVED 2026-08-14
PA RA APPROVED 2026-08-14
TX RA APPROVED 2026-08-14
FL RA APPROVED 2026-07-16
CA RA APPROVED 2026-05-27
  • AL RA
    APPROVED
    Since 2026-08-14
  • PA RA
    APPROVED
    Since 2026-08-14
  • TX RA
    APPROVED
    Since 2026-08-14
  • FL RA
    APPROVED
    Since 2026-07-16
  • CA RA
    APPROVED
    Since 2026-05-27

Branch Locations

5280 Carroll Canyon Road Suite 300, San Diego, CA 92121 • 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
Guardian Life Insurance Co Of America New York NY 06/2017 08/2020
Ethicon Somerville NJ 01/2013 05/2017
Park Avenue Securities, Llc New York NY 10/2017 08/2020
Kingsbarn Real Estate Capital San Diego CA 08/2020 05/2024
Youpower Carlsbad CA 06/2024 04/2026
Guardian Life Insurance Company San Diego CA 05/2026 Present
Park Avenue Securities San Diego CA 05/2026 Present
  • 06/2017 → 08/2020
    Guardian Life Insurance Co Of America
    New York, NY
  • 01/2013 → 05/2017
    Ethicon
    Somerville, NJ
  • 10/2017 → 08/2020
    New York, NY
  • 08/2020 → 05/2024
    Kingsbarn Real Estate Capital
    San Diego, CA
  • 06/2024 → 04/2026
    Youpower
    Carlsbad, CA
  • 05/2026 → Present
    Guardian Life Insurance Company
    San Diego, CA
  • 05/2026 → Present
    Park Avenue Securities
    San Diego, CA
Previous Registrations
Other Businesses

1. SD Food Bank; Board Member Start: 03/01/2023 Address: 9850 Distribution Avenue San Diego CA 92121-2320 3 non bus hrs per month Not investment related 2. Rossi Real Estate, LLC Owner Start: 08/2020 Address: 3033 Jutland Ct, San Diego CA 92017 4 non bus hrs per month Not investment related

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2026-05-09
  • S66 Uniform Combined State Law Examination
    2026-05-09
Other Names
  • James Rossi
  • James Michael Rossi

View on SEC IAPD

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