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Detailed Report
WILLIAM JEFFREY JEFFREY TRAUM
WILLIAM J TRAUM, WILLIAM JEFFREY TRAUM
CRD#: 809435
IA
Investment Adviser
B
Broker
PARK AVENUE SECURITIES LLCCRD#: 46173 14021 METROPOLIS AVE.
FORT MYERS, FL 33912
Registration History
19751980198519901995200020052010201520202025IAPARK AVENUE SECURITIES LLC (CRD# 46173)2001 - Present (23 years)BPARK AVENUE SECURITIES LLC (CRD# 46173)1999 - Present (25 years)BGUARDIAN INVESTOR SERVICES COR... (CRD# 6635)1990 - 1999 (8 years)BW.D.R. EQUITY RESOURCES, INC. (CRD# 14241)1983 - 1990 (6 years)BMML INVESTORS SERVICES, INC. (CRD# 10409)1988 - 1988 (<1 year)BMASSACHUSETTS MUTUAL LIFE INSU... (CRD# 2682)1983 - 1988 (4 years)BALJON SECURITIES,INC. (CRD# 6786)1983 - 1984 (<1 year)BCIGNA SECURITIES, INC. (CRD# 145)1975 - 1982 (7 years)
Disclosure(s)
View By:
1/12/2015
Customer Dispute
Settled
11/1/1991
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 2/23/2007
B
New York 2/16/2007
B
Florida 5/3/1999
IA
New York 4/16/2021
IA
Florida 4/30/2001
B
North Carolina 3/19/2021
B
Georgia 12/19/2006
IA
North Carolina 3/23/2021
B
Indiana 10/5/2018
B
Ohio 5/3/1999
B
New Jersey 5/3/1999
IA
Ohio 10/10/2001
IA
New Jersey 1/14/2003
B
Wisconsin 9/28/2018

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 4/30/2001
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)
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B
 09/19/1990 - 05/03/1999 GUARDIAN INVESTOR SERVICES CORPORATION (CRD#:6635) NEW YORK, NY
B
 12/05/1983 - 09/12/1990 W.D.R. EQUITY RESOURCES, INC. (CRD#:14241)
B
 01/02/1988 - 06/16/1988 MML INVESTORS SERVICES, INC. (CRD#:10409)
B
 07/25/1983 - 01/02/1988 MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (CRD#:2682)
B
 11/14/1983 - 10/19/1984 ALJON SECURITIES,INC. (CRD#:6786)
B
 06/25/1975 - 10/25/1982 CIGNA SECURITIES, INC. (CRD#:145)
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.