Adam S Kaufman

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
CO	RA	APPROVED	2023-09-12
GA	RA	APPROVED	2023-09-11
CA	RA	APPROVED	2023-09-06
FL	RA	APPROVED	2022-10-12
SC	RA	APPROVED	2022-09-14
CT	RA	APPROVED	2022-09-09
PA	RA	APPROVED	2022-09-09
NJ	RA	APPROVED	2022-07-29
NY	RA	APPROVED	2021-04-16

CO RA
APPROVED

Since 2023-09-12
GA RA
APPROVED

Since 2023-09-11
CA RA
APPROVED

Since 2023-09-06
FL RA
APPROVED

Since 2022-10-12
SC RA
APPROVED

Since 2022-09-14
CT RA
APPROVED

Since 2022-09-09
PA RA
APPROVED

Since 2022-09-09
NJ RA
APPROVED

Since 2022-07-29
NY RA
APPROVED

Since 2021-04-16

Branch Locations

225 Broadhollow Road Suite 105, Melville, NY 11747 • United States

Mount Sinai, NY • 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
Guardian Life Insurance Co Of America	Woodbury	NY	03/2010	03/2021
Park Avenue Securities Llc	Woodbury	NY	03/2010	03/2021
Guardian Life Insurance Company	Melville	NY	03/2021	Present
Park Avenue Securiites	Melville	NY	03/2021	Present
Park Avenue Securities	Mount Sinai	NY	06/2024	Present
Guardian Life Insurance Company	Mount Sinai	NY	06/2024	Present

03/2010 → 03/2021

Guardian Life Insurance Co Of America

Woodbury, NY
03/2010 → 03/2021

Park Avenue Securities Llc

Woodbury, NY
03/2021 → Present

Guardian Life Insurance Company

Melville, NY
03/2021 → Present

Park Avenue Securiites

Melville, NY
06/2024 → Present

Park Avenue Securities

Mount Sinai, NY
06/2024 → Present

Guardian Life Insurance Company

Mount Sinai, NY

Other Businesses

1. Sound Wealth Financial Group LLC-Guardian agency prior to our merger with Wealth Advisory Group which is our current name. I still retain the Sound Wealth Financial Group name as an entity but do not produce Guardian or PAS business through that entity, Start: 01/01/2010, Address: 225 Broadhollow. Rd, Melville, NY. 11747, 1 total hour per month, 1 during securities trading hours Investment related, No annual compensation, 2. Wealth Advisory Group (WAG)-DBA that my Guardian agency uses,. Start: 03/01/2016, Address: 225 Broadhollow. Rd, Ste 105 Melville, NY. 11747, 160 total hours per month, 160 during securities trading hours, Investment related, >10% annual compensation, 3) Ash Brokerage-Broker, Nature of Business: Insurance, Start date: 07/15/2025, Address: 36 Sunnydale, Mt. Sinai, NY 11766, Duties: Insurance other than Guardian, 1 total hours per month; 1 during securities trading hours, Investment related, 4) Crystal Brook Park Association-board member, Nature of Business: Board of Directors, Start date: 11/06/2025, Address: PO Box 390, Mt. Sinai NY 11766, Duties: c0-treasurer, 2 total hours per month; 0 during securities trading hours, Not investment related,

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2006-03-08
S63	Uniform Securities Agent State Law Examination	1985-06-03

S66 Uniform Combined State Law Examination

2006-03-08
S63 Uniform Securities Agent State Law Examination

1985-06-03

Other Names

Adam Steven Kaufman

View on SEC IAPD