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Detailed Report
STEPHEN S KOH
STEPHEN SOONWON KOH, STEVE KOH
CRD#: 4582005
IA
Investment Adviser
B
Broker
PARK AVENUE SECURITIES LLCCRD#: 46173 12677 ALCOSTA BLVD
SUITE 340
SAN RAMON, CA 94583
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2022 - Present (3 years)BMML INVESTORS SERVICES, LLC (CRD# 10409)2015 - 2022 (6 years)BGUGGENHEIM SECURITIES, LLC (CRD# 40638)2010 - 2015 (4 years)BWILLIAM BLAIR & COMPANY L.L.C. (CRD# 1252)2008 - 2010 (2 years)BLEHMAN BROTHERS INC. (CRD# 7506)2002 - 2008 (5 years)IAMML INVESTORS SERVICES, LLC (CRD# 10409)2016 - 2022 (6 years)
License(s)

State Registrations

B
Arizona 1/10/2022
IA
Michigan 8/28/2024
IA
Arizona 3/15/2022
B
Missouri 8/16/2024
B
California 1/4/2022
IA
Missouri 8/19/2024
IA
California 1/5/2022
B
New Jersey 1/20/2022
B
Colorado 11/20/2024
IA
New Jersey 3/3/2022
IA
Colorado 11/21/2024
B
New York 1/8/2022
B
Connecticut 10/1/2024
IA
New York 3/3/2022
IA
Connecticut 10/1/2024
B
North Carolina 3/10/2023
B
Florida 1/4/2022
IA
North Carolina 3/16/2023
IA
Florida 2/16/2022
B
Ohio 1/4/2022
B
Georgia 11/8/2023
IA
Ohio 6/5/2023
IA
Georgia 11/13/2023
IA
South Carolina 1/6/2022
B
Hawaii 8/16/2024
B
South Carolina 1/11/2022
IA
Hawaii 10/25/2024
B
Texas 1/4/2022
B
Illinois 1/5/2022
IA
Texas 1/4/2022
IA
Illinois 1/6/2022
B
Utah 2/20/2024
B
Maryland 1/4/2022
IA
Utah 2/20/2024
IA
Maryland 3/10/2023
B
Virginia 1/4/2022
B
Massachusetts 1/10/2022
IA
Virginia 3/2/2022
B
Michigan 8/26/2024
B
Wisconsin 11/8/2023

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)
12677 ALCOSTA BLVD SUITE 340, SAN RAMON, CA 94583
Registered with this firm since 1/4/2022
B
PARK AVENUE SECURITIES LLC (CRD#:46173)
12677 ALCOSTA BLVD SUITE 340, SAN RAMON, CA 94583
Registered with this firm since 1/3/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/05/2016 - 01/06/2022 MML INVESTORS SERVICES, LLC (CRD#:10409) FREMONT, CA
B
 07/28/2015 - 01/06/2022 MML INVESTORS SERVICES, LLC (CRD#:10409) FREMONT, CA
B
 11/01/2010 - 01/12/2015 GUGGENHEIM SECURITIES, LLC (CRD#:40638) CHICAGO, IL
B
 04/02/2008 - 07/12/2010 WILLIAM BLAIR & COMPANY L.L.C. (CRD#:1252) CHICAGO, IL
B
 10/21/2002 - 02/15/2008 LEHMAN BROTHERS INC. (CRD#:7506) CHICAGO, IL
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.