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Detailed Report
DENNIS MICHAEL BAVIN
DENNIS M. BAVIN, Dennis Bavin
CRD#: 5533888
IA
Investment Adviser
B
Broker
PARK AVENUE SECURITIES LLCCRD#: 46173 5280 CARROLL CANYON ROAD
SUITE 300
SAN DIEGO, CA 92121
Registration History
20082010201220142016201820202022202420262 FIRMS2008 - 2016 (7 years)2 FIRMS2017 - 2019 (1 year)2 FIRMS2021 - 2023 (2 years)2 FIRMS2023 - Present (1 year)
Disclosure(s)
View By:
2/27/2019
Employment Separation After Allegations
4/13/2017
Financial
Final
2/14/2017
Financial
Final
2/1/2017
Financial
Final
2/1/2017
Financial
Final
1/27/2017
Financial
Final
1/22/2017
Financial
Final
1/19/2017
Financial
Final
1/18/2017
Financial
Final
12/6/2016
Financial
Final
12/5/2016
Financial
Final
11/12/2016
Financial
Final
11/11/2016
Financial
Final
11/10/2016
Financial
Final
11/8/2016
Financial
Final
11/4/2016
Financial
Final
9/20/2016
Financial
Final
2/24/2015
Customer Dispute
Settled
License(s)

State Registrations

B
California 4/7/2023
B
New York 10/1/2024
IA
California 4/13/2023
IA
New York 10/1/2024
B
Connecticut 10/1/2024
B
Texas 3/3/2025
IA
Connecticut 10/1/2024
IA
Texas 3/3/2025
B
Florida 3/3/2025
IA
Utah 3/26/2024
B
New Mexico 10/25/2023
B
Utah 5/1/2024
IA
New Mexico 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)
5280 CARROLL CANYON ROAD SUITE 300, SAN DIEGO, CA 92121
Registered with this firm since 4/13/2023
B
PARK AVENUE SECURITIES LLC (CRD#:46173)
5280 CARROLL CANYON ROAD SUITE 300, SAN DIEGO, CA 92121
Registered with this firm since 4/6/2023
Previous Registration(s)
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IA
 02/25/2021 - 03/16/2023 MML INVESTORS SERVICES, LLC (CRD#:10409) LA JOLLA, CA
B
 03/03/2021 - 03/16/2023 MML INVESTORS SERVICES, LLC (CRD#:10409) LA JOLLA, CA
IA
 06/28/2017 - 03/01/2019 AXA ADVISORS, LLC (CRD#:6627) SAN DIEGO, CA
B
 06/29/2017 - 03/01/2019 AXA ADVISORS, LLC (CRD#:6627) SAN DIEGO, CA
IA
 07/18/2008 - 04/13/2016 AXA ADVISORS, LLC (CRD#:6627) SAN DIEGO, CA
B
 06/18/2008 - 04/13/2016 AXA ADVISORS, LLC (CRD#:6627) SAN DIEGO, CA
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.