Allison Marie Swantkowski

Current Employers

Park Avenue Securities Llc

10 Hudson Yards, New York, NY 10001 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2024-12-11

TX RA
APPROVED

Since 2024-12-11

Branch Locations

Houston, TX • United States

3040 Post Oak Blvd Suite 1150, Houston, TX 77056 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Houston	TX	08/2015	10/2020
Stay At Home Mom	Houston	TX	10/2020	11/2024
Guardian Life Insurance Company	Houston	TX	11/2024	Present
Park Avenue Securities	Houston	TX	11/2024	Present

08/2015 → 10/2020

Ameriprise Financial Services, Inc.

Houston, TX
10/2020 → 11/2024

Stay At Home Mom

Houston, TX
11/2024 → Present

Guardian Life Insurance Company

Houston, TX
11/2024 → Present

Park Avenue Securities

Houston, TX

Previous Registrations

2015-09-10 → 2020-09-22

Ameriprise Financial Services, Llc

Houston, TX

Minneapolis, MN
2012-09-27 → 2015-09-17

Cambridge Investment Research Advisors, Inc.

Houston, TX
2001-04-16 → 2007-06-04

Ameriprise Financial Services, Llc

Austin, TX

Austin, TX

Other Businesses

1) Balance Approach Consulting-Independent contractor, Nature of Business: business continuation, staff and leadership development, Start date: 08/24/2026, Address: 830 Country Lane Houston, Texas 77024, Duties: Consulting, 40 total hours per month; 30 during securities trading hours, Not investment related,

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2012-09-26
S66	Uniform Combined State Law Examination	2001-04-11

S65 Uniform Investment Adviser Law Examination

2012-09-26
S66 Uniform Combined State Law Examination

2001-04-11

Other Names

Allison Marie Wammel

View on SEC IAPD