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Detailed Report
RICHARD M RUBENSTEIN
RICHARD MAXIMILLAN RUBENSTEIN
CRD#: 3162490
IA
Investment Adviser
B
Broker
PARK AVENUE SECURITIES LLCCRD#: 46173 800 WESTCHESTER AVENUE
4TH FLOOR SUITE N409
RYE BROOK, NY 10573
Registration History
20002002200420062008201020122014201620182020202220242026IAPARK AVENUE SECURITIES LLC (CRD# 46173)2006 - Present (18 years)BPARK AVENUE SECURITIES LLC (CRD# 46173)1999 - Present (25 years)BGUARDIAN INVESTOR SERVICES COR... (CRD# 6635)1999 - 1999 (<1 year)
License(s)

State Registrations

B
California 1/14/2008
B
New Hampshire 12/20/2019
B
Connecticut 3/27/2000
IA
New Hampshire 12/24/2019
IA
Connecticut 6/14/2006
B
New Jersey 3/27/2000
B
Florida 12/16/2002
IA
New Jersey 1/30/2012
IA
Florida 3/24/2020
B
New York 5/3/1999
B
Georgia 3/10/2022
IA
New York 4/16/2021
IA
Georgia 3/11/2022
B
North Carolina 2/27/2025
B
Massachusetts 10/26/2017
B
Ohio 4/1/2024
IA
Massachusetts 11/15/2017
B
South Carolina 1/29/2018
B
Mississippi 10/13/2017
IA
South Carolina 1/19/2021
IA
Mississippi 3/30/2020

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)
800 WESTCHESTER AVENUE 4TH FLOOR SUITE N409, RYE BROOK, NY 10573
Yorktown Heights, NY
Registered with this firm since 6/14/2006
B
PARK AVENUE SECURITIES LLC (CRD#:46173)
800 WESTCHESTER AVENUE 4TH FLOOR SUITE N409, RYE BROOK, NY 10573
Yorktown Heights, NY
Registered with this firm since 5/3/1999
Previous Registration(s)
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B
 03/19/1999 - 05/03/1999 GUARDIAN INVESTOR SERVICES CORPORATION (CRD#:6635) 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.