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Detailed Report
MICHAEL ALEXANDER HESS
MICHAEL A HESS
CRD#: 2801637
IA
Investment Adviser
B
Broker
PARK AVENUE SECURITIES LLCCRD#: 46173 5280 CARROLL CANYON ROAD
SUITE 300
SAN DIEGO, CA 92121
Registration History
1996199820002002200420062008201020122014201620182020202220242026IAPARK AVENUE SECURITIES LLC (CRD# 46173)2018 - Present (7 years)BPARK AVENUE SECURITIES LLC (CRD# 46173)2015 - Present (10 years)BGUARDIAN INVESTOR SERVICES LLC (CRD# 6635)2009 - 2015 (5 years)BPLANCO FINANCIAL SERVICES, LLC (CRD# 8326)2005 - 2009 (4 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1996 - 1997 (<1 year)
License(s)

State Registrations

B
Arizona 6/15/2023
B
Nevada 1/29/2021
IA
Arizona 6/29/2023
IA
Nevada 1/28/2025
B
California 3/31/2015
B
New York 1/16/2018
IA
California 1/25/2018
IA
New York 4/16/2021
B
Florida 5/23/2019
B
Ohio 3/11/2022
IA
Florida 5/24/2019
B
Oregon 6/13/2023
B
Hawaii 7/3/2023
B
Tennessee 5/15/2024
IA
Hawaii 7/5/2023
B
Texas 2/15/2024
B
Maryland 8/2/2016
B
Washington 9/28/2022
IA
Maryland 3/16/2022
B
Wyoming 9/27/2021
B
Massachusetts 6/12/2020

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)
5280 CARROLL CANYON ROAD SUITE 300, SAN DIEGO, CA 92121
Encino, CA
Registered with this firm since 1/25/2018
B
PARK AVENUE SECURITIES LLC (CRD#:46173)
5280 CARROLL CANYON ROAD SUITE 300, SAN DIEGO, CA 92121
Encino, CA
Registered with this firm since 3/31/2015
Previous Registration(s)
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B
 12/08/2009 - 03/31/2015 GUARDIAN INVESTOR SERVICES LLC (CRD#:6635) NEW YORK, NY
B
 05/02/2005 - 09/18/2009 PLANCO FINANCIAL SERVICES, LLC (CRD#:8326) HARTFORD, CT
B
 11/05/1996 - 06/30/1997 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.