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Detailed Report
JOHN A WARE
JOHN ASHBY WARE, Ashby Ware
CRD#: 3221406
IA
Investment Adviser
B
Broker
PARK AVENUE SECURITIES LLCCRD#: 46173 2626 GLENWOOD AVENUE
SUITE 450
RALEIGH, NC 27608
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2010 - 2012 (2 years)2 FIRMS2012 - Present (12 years)BPRINCOR FINANCIAL SERVICES COR... (CRD# 1137)2004 - 2010 (5 years)BUVEST FINANCIAL SERVICES GROUP... (CRD# 13787)2002 - 2004 (1 year)BFIRST UNION BROKERAGE SERVICES... (CRD# 8112)1999 - 2000 (<1 year)IAPRINCOR FINANCIAL SERVICES COR... (CRD# 1137)2006 - 2010 (3 years)
Disclosure(s)
View By:
8/14/2009
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 5/15/2024
B
Massachusetts 1/25/2013
IA
Alabama 5/15/2024
B
New Jersey 10/2/2012
B
Florida 4/16/2012
B
North Carolina 4/17/2012
IA
Florida 1/11/2018
IA
North Carolina 5/2/2012
B
Georgia 4/4/2018
B
South Carolina 4/16/2012
IA
Georgia 4/4/2018
IA
South Carolina 6/12/2017
B
Maryland 11/1/2021
B
Virginia 12/3/2012

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)
2626 GLENWOOD AVENUE SUITE 450, RALEIGH, NC 27608
Registered with this firm since 5/2/2012
B
PARK AVENUE SECURITIES LLC (CRD#:46173)
2626 GLENWOOD AVENUE SUITE 450, RALEIGH, NC 27608
Registered with this firm since 4/16/2012
Previous Registration(s)
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IA
 07/22/2010 - 04/05/2012 EAGLE STRATEGIES LLC (CRD#:110826) FURUAY VARINA, NC
B
 03/31/2010 - 04/05/2012 NYLIFE SECURITIES LLC (CRD#:5167) FUQUAY VARINA, NC
IA
 05/26/2006 - 03/12/2010 PRINCOR FINANCIAL SERVICES CORPORATION (CRD#:1137) RALEIGH, NC
B
 06/30/2004 - 03/12/2010 PRINCOR FINANCIAL SERVICES CORPORATION (CRD#:1137) RALEIGH, NC
B
 08/26/2002 - 06/14/2004 UVEST FINANCIAL SERVICES GROUP, INC. (CRD#:13787) CHARLOTTE, NC
B
 05/05/1999 - 02/01/2000 FIRST UNION BROKERAGE SERVICES, INC. (CRD#:8112) CHARLOTTE, NC
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.