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Detailed Report
MICHAEL B KLARFELD
MICHAEL BRUCE KLARFELD
CRD#: 1139498
IA
Investment Adviser
B
Broker
PARK AVENUE SECURITIES LLCCRD#: 46173 7373 E. DOUBLETREE RANCH RD
SUITE B-155
SCOTTSDALE, AZ 85258
Registration History
197519801985199019952000200520102015202020252 FIRMS1991 - 1992 (1 year)IAPARK AVENUE SECURITIES LLC (CRD# 46173)2012 - Present (12 years)BPARK AVENUE SECURITIES LLC (CRD# 46173)1999 - Present (25 years)BGUARDIAN INVESTOR SERVICES COR... (CRD# 6635)1992 - 1999 (6 years)BWALNUT STREET SECURITIES, INC. (CRD# 15840)1986 - 1991 (5 years)BNML EQUITY SERVICES, INC. (CRD# 2881)1984 - 1986 (2 years)
Disclosure(s)
View By:
11/26/1974
Criminal
Final Disposition
License(s)

State Registrations

B
Arizona 5/3/1999
IA
Nevada 6/9/2021
IA
Arizona 4/10/2012
B
New Mexico 7/15/2024
B
California 5/3/1999
B
New York 8/22/2013
IA
California 4/25/2017
B
North Carolina 2/10/2025
B
Colorado 11/2/2001
B
North Dakota 7/10/2023
IA
Colorado 4/10/2012
B
Oregon 2/5/2019
B
Florida 6/29/2015
IA
Oregon 7/30/2019
B
Georgia 6/25/2013
B
South Carolina 7/16/2024
B
Kansas 3/11/2022
IA
South Carolina 7/16/2024
IA
Kansas 3/11/2022
B
Texas 2/25/2020
B
Maryland 2/5/2019
IA
Texas 8/10/2021
B
Minnesota 10/14/2022
B
Virginia 1/15/2020
IA
Minnesota 10/14/2022
B
Washington 10/14/2022
B
Nevada 6/9/2021
IA
Washington 10/14/2022

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
PARK AVENUE SECURITIES LLC (CRD#:46173)
7373 E. DOUBLETREE RANCH RD SUITE B-155, SCOTTSDALE, AZ 85258
Registered with this firm since 4/10/2012
B
PARK AVENUE SECURITIES LLC (CRD#:46173)
7373 E. DOUBLETREE RANCH RD SUITE B-155, SCOTTSDALE, AZ 85258
Registered with this firm since 5/3/1999
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 07/31/1992 - 05/03/1999 GUARDIAN INVESTOR SERVICES CORPORATION (CRD#:6635) NEW YORK, NY
B
 06/03/1991 - 07/17/1992 PRUCO SECURITIES CORPORATION (CRD#:5685) NEWARK, NJ
B
 06/03/1991 - 07/17/1992 THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (CRD#:680) NEWARK, NJ
B
 02/10/1986 - 05/20/1991 WALNUT STREET SECURITIES, INC. (CRD#:15840) EL SEGUNDO, CA
B
 02/28/1984 - 02/08/1986 NML EQUITY SERVICES, INC. (CRD#:2881)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.