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Detailed Report
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2000 - 2001 (1 year)2 FIRMS2008 - Present (16 years)BPARK AVENUE SECURITIES LLC (CRD# 46173)2001 - 2008 (6 years)
Disclosure(s)
View By:
3/26/2007
Customer Dispute
Settled
License(s)

State Registrations

B
California 6/22/2021
B
Maryland 7/11/2011
IA
California 6/22/2021
IA
Maryland 4/10/2013
B
Colorado 9/6/2018
B
Massachusetts 5/13/2008
IA
Colorado 10/9/2024
IA
Massachusetts 5/27/2008
B
Connecticut 5/9/2008
B
New Hampshire 5/9/2008
IA
Connecticut 9/9/2020
IA
New Hampshire 7/6/2012
B
Florida 7/12/2011
B
New Jersey 1/21/2022
IA
Florida 11/13/2018
IA
New Jersey 1/21/2022
B
Kentucky 6/27/2019
B
New York 3/5/2013
IA
Kentucky 6/27/2019
B
South Carolina 5/25/2021
B
Maine 9/6/2018
B
Texas 4/22/2021
IA
Maine 9/6/2018
IA
Texas 4/22/2021

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)
58 MAIN STREET, TOPSFIELD, MA 01983
Registered with this firm since 5/27/2008
B
PARK AVENUE SECURITIES LLC (CRD#:46173)
58 MAIN STREET, TOPSFIELD, MA 01983
Registered with this firm since 5/9/2008
Previous Registration(s)
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B
 07/16/2001 - 04/21/2008 PARK AVENUE SECURITIES LLC (CRD#:46173) WAKEFIELD, MA
B
 05/09/2000 - 07/06/2001 ROBERT W. BAIRD & CO. INCORPORATED (CRD#:8158) MILWAUKEE, WI
B
 02/02/2000 - 07/06/2001 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) MILWAUKEE, WI
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.