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CFP
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CFP

Brett Roth

Park Avenue Securities LLC
34 Years of Experience
Dayton, OH
Broker
View SEC Summary
View SEC Summary

Brett Roth is a CFP-designated registered investment advisor at Park Avenue Securities LLC, based in Dayton, OH, with 34 years of industry experience. Brett is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Charitable Giving, Corporate Executives, Education Planning, and 7 more. Their firm serves 82,118 clients with $20B in assets under management.

Park Avenue Securities LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1914 advisors
Number of Clients
82,118 clients
Average Client Portfolio
$238K average
Assets Under Management
$19.6B

Fee Structure

Minimum Investment:$5K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $500K2.05%
$500K - $1000K2.00%
$1.0M - $2.0M1.95%
$2M+1.90%

Schedule reflects the maximum client fee for the Park Avenue Portfolio Select program. Other wrap fee and third-party programs have varying fee schedules with advisor fees ranging from 0.50% to 1.75% plus platform and manager fees.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

7755 Paragon Road, Suite 107, Dayton, OH, 45459

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Employment History
Current Registrations
Park Avenue Securities LLCBroker
June 2022 - Present · 4 yrs 4 mos
Park Avenue Securities LLC
June 2022 - Present · 4 yrs 4 mos
Previous Registrations
W&s Brokerage Services, INC.
December 2018 - May 2022 · 3 yrs 5 mos
W&s Brokerage Services, INC.Broker
October 2016 - May 2022 · 5 yrs 7 mos
Fidelity Personal Trust Company, Fsb
August 2006 - March 2007 · 7 mos
Strategic Advisers, INC.
January 2003 - April 2016 · 13 yrs 3 mos
Fidelity Brokerage Services LLCBroker
December 1991 - April 2016 · 24 yrs 4 mos
State Registrations2 states
OHTX
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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