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Current Employers
Park Avenue Securities Llc

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

Current Registrations

AuthorityCategoryStatusDate
NM RA APPROVED 2026-02-19
UT RA APPROVED 2024-10-08
NE RA APPROVED 2023-08-08
AR RA APPROVED 2022-07-26
OH RA APPROVED 2022-07-21
OR RA APPROVED 2021-12-17
LA RA APPROVED 2021-10-27
VA RA APPROVED 2021-09-29
NY RA APPROVED 2021-04-16
IL RA APPROVED 2019-08-07
NH RA APPROVED 2019-03-21
GA RA APPROVED 2019-02-22
AL RA APPROVED 2018-07-18
WI RA APPROVED 2018-05-04
NC RA APPROVED 2018-04-13
SC RA APPROVED 2018-04-13
MD RA APPROVED 2017-07-14
TX RA APPROVED_RES 2016-10-28
DE RA APPROVED 2016-02-02
MN RA APPROVED 2014-07-17
AZ RA APPROVED 2014-01-15
CO RA APPROVED 2014-01-08
MA RA APPROVED 2012-10-23
HI RA APPROVED 2011-08-05
PA RA APPROVED 2011-08-02
CA RA APPROVED 2009-09-24
FL RA APPROVED 2008-10-24
CT RA APPROVED 2008-10-23
KY RA APPROVED 2008-10-23
NJ RA APPROVED 2008-10-23
  • NM RA
    APPROVED
    Since 2026-02-19
  • UT RA
    APPROVED
    Since 2024-10-08
  • NE RA
    APPROVED
    Since 2023-08-08
  • AR RA
    APPROVED
    Since 2022-07-26
  • OH RA
    APPROVED
    Since 2022-07-21
  • OR RA
    APPROVED
    Since 2021-12-17
  • LA RA
    APPROVED
    Since 2021-10-27
  • VA RA
    APPROVED
    Since 2021-09-29
  • NY RA
    APPROVED
    Since 2021-04-16
  • IL RA
    APPROVED
    Since 2019-08-07
  • NH RA
    APPROVED
    Since 2019-03-21
  • GA RA
    APPROVED
    Since 2019-02-22
  • AL RA
    APPROVED
    Since 2018-07-18
  • WI RA
    APPROVED
    Since 2018-05-04
  • NC RA
    APPROVED
    Since 2018-04-13
  • SC RA
    APPROVED
    Since 2018-04-13
  • MD RA
    APPROVED
    Since 2017-07-14
  • TX RA
    APPROVED_RES
    Since 2016-10-28
  • DE RA
    APPROVED
    Since 2016-02-02
  • MN RA
    APPROVED
    Since 2014-07-17
  • AZ RA
    APPROVED
    Since 2014-01-15
  • CO RA
    APPROVED
    Since 2014-01-08
  • MA RA
    APPROVED
    Since 2012-10-23
  • HI RA
    APPROVED
    Since 2011-08-05
  • PA RA
    APPROVED
    Since 2011-08-02
  • CA RA
    APPROVED
    Since 2009-09-24
  • FL RA
    APPROVED
    Since 2008-10-24
  • CT RA
    APPROVED
    Since 2008-10-23
  • KY RA
    APPROVED
    Since 2008-10-23
  • NJ RA
    APPROVED
    Since 2008-10-23

Branch Locations

900 Stewart Avenue Suite 500, Garden City, NY 11530 • United States

Disclosures

1 disclosure category 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 No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Guardian Life Insurance Company Of America Garden City NY 11/2002 Present
Park Avenue Securities Garden City NY 02/2003 Present
  • 11/2002 → Present
    Guardian Life Insurance Company Of America
    Garden City, NY
  • 02/2003 → Present
    Park Avenue Securities
    Garden City, NY
Other Businesses

1. Insurance outside of Guardian (Health) Health insurance through fellow Guardian FR broker, Start: 02/15/2017, Address: 900 Stewart Ave. Suite 500, Garden City, NY 11530, 1 total hour per month, 1 during securities trading hours, Less than 10% annual compensation, Investment related,

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-10-20
S63 Uniform Securities Agent State Law Examination 2001-05-08
  • S66 Uniform Combined State Law Examination
    2008-10-20
  • S63 Uniform Securities Agent State Law Examination
    2001-05-08
Other Names
  • Dean Michael Rothman

View on SEC IAPD

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