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Advisor at PARK AVENUE SECURITIES LLC
HONOLULU, HI
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| PARK AVENUE SECURITIES LLC | Bd affiliated wealth | Aug 13, 2021 | n/a | yes | HONOLULU, HI | Current employment |
| SECURITIES AMERICA ADVISORS, INC. | Former SEC adviser | Dec 2, 2016 | Aug 17, 2021 | no | HONOLULU, HI | Previous registration |
| J. W. COLE ADVISORS, INC. | Bd affiliated wealth | May 10, 2013 | Dec 23, 2016 | no | TAMPA, FL | Previous registration |
| FINANCIAL ADVISERS OF AMERICA, LLC | Former SEC adviser | Feb 16, 2011 | May 10, 2013 | no | HONOLULU, HI|HONOLULU, HI|CARLSBAD, CA | Previous registration |
| SPECTRUM WEALTH MANAGEMENT, LLC | n/a | Oct 10, 2006 | Feb 1, 2011 | no | HONOLULU, HI | Previous registration |
| TRANSAMERICA FINANCIAL ADVISORS, INC. | n/a | Feb 10, 2004 | Sep 6, 2006 | no | HONOLULU, HI|HONOLULU, HI | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| SECURITIES AMERICA ADVISORS, INC. | PARK AVENUE SECURITIES LLC | Aug 17, 2021 | Aug 13, 2021 | -4 | Firm change | Ibd to ibd |
| J. W. COLE ADVISORS, INC. | SECURITIES AMERICA ADVISORS, INC. | Dec 23, 2016 | Dec 2, 2016 | -21 | Firm change | Other |
| FINANCIAL ADVISERS OF AMERICA, LLC | J. W. COLE ADVISORS, INC. | May 10, 2013 | May 10, 2013 | 0 | Bulk transfer | Other |
| SPECTRUM WEALTH MANAGEMENT, LLC | FINANCIAL ADVISERS OF AMERICA, LLC | Feb 1, 2011 | Feb 16, 2011 | 15 | Firm change | Other |
| TRANSAMERICA FINANCIAL ADVISORS, INC. | SPECTRUM WEALTH MANAGEMENT, LLC | Sep 6, 2006 | Oct 10, 2006 | 34 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 110518:46173:HI:2021-08-17 | Aug 17, 2021 | Aug 13, 2021 | HONOLULU, HI | Firm change |
| 112294:110518:FL:2016-12-23 | Dec 23, 2016 | Dec 2, 2016 | TAMPA, FL | Firm change |