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Employer firm

Park Avenue Securities LLC CRD 46173

$19.6B regulatory AUM 38,649 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Park Avenue Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-16
NJ RA APPROVED 2015-11-23
  • NY RA
    APPROVED
    Since 2021-04-16
  • NJ RA
    APPROVED
    Since 2015-11-23

Branch Locations

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

Caldwell, NJ • 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
OrganizationCityStateFromTo
Guardian Life Insurance Company Of America New York NY 11/2015 06/2024
Park Avenue Securities New York NY 11/2015 06/2024
Guardian Life Insurance Company Caldwell NJ 06/2024 Present
Park Avenue Securities Caldwell NJ 06/2024 Present
  • 11/2015 → 06/2024
    Guardian Life Insurance Company Of America
    New York, NY
  • 11/2015 → 06/2024
    Park Avenue Securities
    New York, NY
  • 06/2024 → Present
    Guardian Life Insurance Company
    Caldwell, NJ
  • 06/2024 → Present
    Park Avenue Securities
    Caldwell, NJ
Previous Registrations
Other Businesses

1) Co-Chair, Tottenville HS Class of 1981 Reunion Committee, Start date: 04/03/2024, Address: 305 Stevens Creek Court, Johns Creek, GA 30005, 2 total hours per month, 0 during securities trading hours, No annual compensation, Not investment related

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-07-07
S63 Uniform Securities Agent State Law Examination 2004-06-12
  • S66 Uniform Combined State Law Examination
    2006-07-07
  • S63 Uniform Securities Agent State Law Examination
    2004-06-12
Other Names
  • Sherri B Abrams

View on SEC IAPD

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