Michael David Schwartz

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

Authority	Category	Status	Date
AZ	RA	APPROVED	2024-10-16
UT	RA	APPROVED	2023-05-23
ME	RA	APPROVED	2023-01-06
OR	RA	APPROVED	2022-06-07
NY	RA	APPROVED	2021-10-22
MA	RA	APPROVED	2021-03-24
AL	RA	APPROVED	2021-01-08
KY	RA	APPROVED	2020-01-30
DE	RA	APPROVED	2019-11-26
OK	RA	APPROVED	2019-07-17
IN	RA	APPROVED	2019-01-02
NE	RA	APPROVED	2018-05-10
NH	RA	APPROVED	2018-04-19
WI	RA	APPROVED	2018-03-27
MS	RA	APPROVED	2018-02-21
FL	RA	APPROVED	2017-12-08
NC	RA	APPROVED	2017-11-20
WA	RA	APPROVED	2016-10-17
VA	RA	APPROVED	2016-07-18
MN	RA	APPROVED	2015-07-01
CA	RA	APPROVED	2015-02-18
TX	RA	APPROVED_RES	2014-05-06
GA	RA	APPROVED	2013-12-11
CT	RA	APPROVED	2013-08-02
MI	RA	APPROVED	2013-02-22
DC	RA	APPROVED	2013-02-13
OH	RA	APPROVED	2012-10-09
IL	RA	APPROVED	2012-04-30
SC	RA	APPROVED	2012-04-23
MD	RA	APPROVED	2012-04-02
PA	RA	APPROVED	2012-03-02
CO	RA	APPROVED	2012-02-29
NJ	RA	APPROVED	2012-02-24

AZ RA
APPROVED

Since 2024-10-16
UT RA
APPROVED

Since 2023-05-23
ME RA
APPROVED

Since 2023-01-06
OR RA
APPROVED

Since 2022-06-07
NY RA
APPROVED

Since 2021-10-22
MA RA
APPROVED

Since 2021-03-24
AL RA
APPROVED

Since 2021-01-08
KY RA
APPROVED

Since 2020-01-30
DE RA
APPROVED

Since 2019-11-26
OK RA
APPROVED

Since 2019-07-17
IN RA
APPROVED

Since 2019-01-02
NE RA
APPROVED

Since 2018-05-10
NH RA
APPROVED

Since 2018-04-19
WI RA
APPROVED

Since 2018-03-27
MS RA
APPROVED

Since 2018-02-21
FL RA
APPROVED

Since 2017-12-08
NC RA
APPROVED

Since 2017-11-20
WA RA
APPROVED

Since 2016-10-17
VA RA
APPROVED

Since 2016-07-18
MN RA
APPROVED

Since 2015-07-01
CA RA
APPROVED

Since 2015-02-18
TX RA
APPROVED_RES

Since 2014-05-06
GA RA
APPROVED

Since 2013-12-11
CT RA
APPROVED

Since 2013-08-02
MI RA
APPROVED

Since 2013-02-22
DC RA
APPROVED

Since 2013-02-13
OH RA
APPROVED

Since 2012-10-09
IL RA
APPROVED

Since 2012-04-30
SC RA
APPROVED

Since 2012-04-23
MD RA
APPROVED

Since 2012-04-02
PA RA
APPROVED

Since 2012-03-02
CO RA
APPROVED

Since 2012-02-29
NJ RA
APPROVED

Since 2012-02-24

Branch Locations

101 Crawfords Corner Road Suite 2405, Holmdel, NJ 07733 • United States

Bernardsville, NJ • United States

3 Bayberry Road, Plymouth, MA 02360 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

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

Employment History

Organization	City	State	From	To
Guaridan Life Insurance Company	Cranford	NJ	05/2009	08/2023
Park Avenue Securities	Cranford	NJ	07/2011	08/2023
Guardian Life Insurance Company	Holmdel	NJ	08/2023	Present
Park Avenue Securities	Holmdel	NJ	08/2023	Present
Guardian Life Insurance Company	Bernardsville	NJ	06/2024	Present
Park Avenue Securities	Bernardsville	NJ	06/2024	Present
Guardian Life Insurance Company	Plymouth	NJ	06/2024	Present
Park Avenue Securities	Plymouth	NJ	06/2024	Present

05/2009 → 08/2023

Guaridan Life Insurance Company

Cranford, NJ
07/2011 → 08/2023

Park Avenue Securities

Cranford, NJ
08/2023 → Present

Guardian Life Insurance Company

Holmdel, NJ
08/2023 → Present

Park Avenue Securities

Holmdel, NJ
06/2024 → Present

Guardian Life Insurance Company

Bernardsville, NJ
06/2024 → Present

Park Avenue Securities

Bernardsville, NJ
06/2024 → Present

Guardian Life Insurance Company

Plymouth, NJ
06/2024 → Present

Park Avenue Securities

Plymouth, NJ

Previous Registrations

2008-03-28 → 2011-05-10

Equitable Advisors, Llc

Woodbridge, NJ

Other Businesses

1) Non-Guardian Insurance Products-sell non-guardian insurance products, Start: 01/01/2008, Address: 31 Stirling Road, Bernardsville, NJ 07924, 1 total hour per month, 0 during securities trading hours, Investment related, Less than 10% annual compensation, 2) Schwartz Planning Group, LLC-Single Member LLC to create a DBA for my business, Start: 04/01/2023, Address: 31 Stirling Road, Bernardsville, NJ 07924, 100 total hour per month, 100 during securities trading hours, Investment related, More than 10% annual compensation,

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2021-10-22

S66 Uniform Combined State Law Examination

2021-10-22

Other Names

David Michael Schwartz

View on SEC IAPD