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Detailed Report
RICHARD A POPE
RICHARD ALAN POPE
CRD#: 1909895
IA
Investment Adviser
B
Broker
PARK AVENUE SECURITIES LLCCRD#: 46173 14021 METROPOLIS AVE.
FORT MYERS, FL 33912
Registration History
19901995200020052010201520202025IAPARK AVENUE SECURITIES LLC (CRD# 46173)2014 - Present (11 years)BPARK AVENUE SECURITIES LLC (CRD# 46173)1999 - Present (25 years)BGUARDIAN INVESTOR SERVICES COR... (CRD# 6635)1994 - 1999 (5 years)BTRAVELERS EQUITIES SALES, INC. (CRD# 833)1992 - 1994 (2 years)BSMA EQUITIES, INC. (CRD# 3960)1989 - 1990 (1 year)
Disclosure(s)
View By:
3/21/2018
Customer Dispute
Denied
4/6/2016
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 11/14/2012
B
Maryland 3/30/2012
B
California 4/11/2023
B
Massachusetts 5/3/1999
B
Colorado 5/23/2024
B
Minnesota 2/10/2012
B
Connecticut 5/3/1999
B
Nevada 2/28/2011
IA
Connecticut 3/31/2015
B
New Hampshire 4/2/2024
B
Delaware 4/3/2015
B
New Jersey 5/3/1999
IA
Delaware 4/24/2015
IA
New Jersey 1/31/2014
B
Florida 5/3/1999
B
New York 5/3/1999
IA
Florida 1/22/2015
IA
New York 4/16/2021
B
Georgia 9/18/2017
B
North Carolina 1/8/2024
IA
Georgia 9/18/2017
B
Pennsylvania 10/7/2018
B
Hawaii 3/24/2023
B
Texas 11/4/2013
B
Illinois 1/24/2024
IA
Texas 4/17/2015
B
Indiana 10/1/2020
B
Virginia 10/1/2018
B
Louisiana 4/24/2024
B
Washington 4/8/2022

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
PARK AVENUE SECURITIES LLC (CRD#:46173)
14021 METROPOLIS AVE., FORT MYERS, FL 33912
Registered with this firm since 1/31/2014
B
PARK AVENUE SECURITIES LLC (CRD#:46173)
14021 METROPOLIS AVE., FORT MYERS, FL 33912
Registered with this firm since 5/3/1999
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 03/24/1994 - 05/03/1999 GUARDIAN INVESTOR SERVICES CORPORATION (CRD#:6635) NEW YORK, NY
B
 01/13/1992 - 04/01/1994 TRAVELERS EQUITIES SALES, INC. (CRD#:833) EL SEGUNDO, CA
B
 03/01/1989 - 10/10/1990 SMA EQUITIES, INC. (CRD#:3960) WORCESTER, MA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.