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Investment Adviser Firm Summary

PARK AVENUE SECURITIES LLC (CRD# 46173 / SEC# 8-51324, 801-58108)
Alternate Names: PARK AVENUE SECURITIES LLC

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 11/13/2000
District of Columbia Terminated 01/02/2002

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 01/17/2001
Alaska 01/04/2002
Arizona 01/01/2001
Arkansas 01/01/2001
California 01/01/2001
Colorado 12/01/2000
Connecticut 01/02/2001
Delaware 06/19/2003
District of Columbia 02/01/2001
Florida 04/30/2001
Georgia 03/20/2001
Hawaii 11/30/2000
Idaho 05/10/2001
Illinois 12/18/2000
Indiana 01/02/2001
Iowa 01/01/2001
Kansas 05/24/2001
Kentucky 12/27/2000
Louisiana 01/01/2001
Maine 01/01/2001
Maryland 01/01/2001
Massachusetts 01/01/2001
Michigan 03/20/2001
Minnesota 03/20/2001
Mississippi 01/01/2001
Missouri 01/01/2001
Montana 04/11/2001
Nebraska 01/01/2001
Nevada 01/02/2001
New Hampshire 01/01/2001
New Jersey 12/05/2000
New Mexico 01/02/2001
New York 01/27/2000
North Carolina 05/23/2001
North Dakota 01/02/2001
Ohio 01/01/2001
Oklahoma 01/22/2001
Oregon 01/01/2001
Pennsylvania 03/30/2011
Puerto Rico 11/03/2017
Rhode Island 01/01/2001
South Carolina 01/02/2001
South Dakota 12/20/2000
Tennessee 01/01/2001
Texas 04/27/1999
Utah 01/01/2001
Vermont 01/03/2002
Virginia 01/01/2001
Washington 12/04/2000
West Virginia 01/01/2001
Wisconsin 12/22/2000
Wyoming 07/20/2017

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser