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Detailed Report
LAWRENCE A BARTH
LAWRENCE ALAN BARTH
CRD#: 1474057
IA
Investment Adviser
B
Broker
PARK AVENUE SECURITIES LLCCRD#: 46173 200 BROADHOLLOW ROAD
SUITE 405
MELVILLE, NY 11747
Registration History
199019952000200520102015202020252 FIRMS2016 - 2017 (1 year)2 FIRMS2017 - Present (7 years)BHORNOR, TOWNSEND & KENT, INC. (CRD# 4031)2002 - 2016 (14 years)BTOWER SQUARE SECURITIES, INC. (CRD# 833)1996 - 2002 (5 years)BADVANTAGE CAPITAL CORPORATION (CRD# 146)1994 - 1996 (2 years)BTRAVELERS EQUITIES SALES, INC. (CRD# 833)1993 - 1994 (1 year)BG. R. PHELPS & CO., INC. (CRD# 173)1988 - 1993 (4 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1986 - 1988 (2 years)IAHORNOR, TOWNSEND & KENT, INC. (CRD# 4031)2005 - 2016 (11 years)
License(s)

State Registrations

B
California 9/6/2017
IA
Massachusetts 12/5/2019
IA
California 9/6/2017
B
Michigan 3/17/2022
B
Connecticut 2/18/2020
IA
Michigan 3/17/2022
IA
Connecticut 2/18/2020
B
New Jersey 9/6/2017
B
Florida 9/6/2017
IA
New Jersey 9/11/2017
IA
Florida 9/7/2017
B
New York 8/11/2017
B
Idaho 6/8/2023
IA
New York 4/16/2021
IA
Idaho 6/8/2023
B
Pennsylvania 9/6/2017
B
Maryland 7/6/2020
IA
Pennsylvania 9/6/2017
IA
Maryland 7/6/2020
B
Texas 8/5/2021
B
Massachusetts 11/21/2019
IA
Texas 2/7/2022

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)
200 BROADHOLLOW ROAD SUITE 405, MELVILLE, NY 11747
Registered with this firm since 9/6/2017
B
PARK AVENUE SECURITIES LLC (CRD#:46173)
200 BROADHOLLOW ROAD SUITE 405, MELVILLE, NY 11747
Registered with this firm since 8/11/2017
Previous Registration(s)
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IA
 08/17/2016 - 08/09/2017 PRINCIPAL SECURITIES, INC. (CRD#:1137) Melville, NY
B
 08/03/2016 - 08/09/2017 PRINCIPAL SECURITIES, INC. (CRD#:1137) Melville, NY
IA
 08/02/2005 - 08/12/2016 HORNOR, TOWNSEND & KENT, INC. (CRD#:4031) NEW YORK, NY
B
 02/15/2002 - 08/12/2016 HORNOR, TOWNSEND & KENT, INC. (CRD#:4031) NEW YORK, NY
B
 11/21/1996 - 03/13/2002 TOWER SQUARE SECURITIES, INC. (CRD#:833) EL SEGUNDO, CA
B
 08/15/1994 - 11/22/1996 ADVANTAGE CAPITAL CORPORATION (CRD#:146) ATLANTA, GA
B
 04/29/1993 - 08/15/1994 TRAVELERS EQUITIES SALES, INC. (CRD#:833) EL SEGUNDO, CA
B
 06/16/1988 - 05/05/1993 G. R. PHELPS & CO., INC. (CRD#:173)
B
 03/20/1986 - 06/18/1988 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
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.