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Park Avenue Securities LLC CRD 46173
$19.6B regulatory AUM 38,649 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2026-02-11 |
| CT | RA | APPROVED | 2026-02-02 |
| FL | RA | APPROVED | 2026-02-02 |
| NJ | RA | APPROVED | 2026-02-02 |
| PA | RA | APPROVED | 2026-02-02 |
| CA | RA | APPROVED | 2026-01-28 |
| CO | RA | APPROVED | 2026-01-28 |
| NY | RA | APPROVED | 2026-01-28 |
Branch Locations
800 Westchester Avenue 4Th Floor Suite N409, Rye Brook, NY 10573 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Icap Corporates, Llc | Jersey City | NJ | 04/2013 | 06/2022 |
| The Herbst Group, Llc | Westport | CT | 06/2022 | 02/2023 |
| Guardian Life Insurance Company | New York | NY | 08/2023 | Present |
| Park Avenue Securities | New York | NY | 09/2023 | Present |
| Unemployed | Mount Kisco | NY | 02/2023 | 08/2023 |
| Guardian Life Insurance Company | Mount Kisco | NY | 06/2024 | Present |
| Park Avenue Securities | Mount Kisco | NY | 06/2024 | Present |
1) Chappaqua Rotary Club- President, Start date: 06/01/2022, Address: PO Box 715, Chappaqua NY, 10514, 10 total hours per month; 8 during securities trading hours, Not Investment related, No annual compensation, 2) Insurance Brokering-Selling insurance products not offered through Guardian or offered through it's subsidiaries, Start date: 10/03/2025, Address: 800 Westchester Ave., Suite N409 Rye Brook, NY 10573-1328, 2 total hours per month; 1 during securities trading hours, Investment related, Less than 10% annual compensation,
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2025-11-25 |
| S63 | Uniform Securities Agent State Law Examination | 2007-03-24 |
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