Park Avenue Securities LLC
A subsidiary of Guardian Life Insurance Co.
7 Hanover Square
New York, NY 10004
Year founded: 1999
Year end: Dec. 31
For More Information
|Top Executive||John Palazzetti|
|Recruiting Contact||Frank Galdieri|
December 5, 2018 - The Financial Industry Regulation Authority Inc. has suspended a broker who instructed his assistant to complete his continuing education coursework in his place. Danijel Velicki, a broker employed with MML Investors Services in Virginia, was required...
November 19, 2018 - The Financial Industry Regulatory Authority Inc. has barred a former Wadell & Reed broker for spending $130,000 from his elderly mother's brokerage account on himself without her knowledge. Robert Lee Basile's mother opened a brokerage account with Waddell...
July 9, 2018 - The Securities and Exchange Commission has barred a former LPL rep, Roger Zullo, based on a charge he sold unsuitable and "disproportionately large" variable annuities to his clients. Mr. Zullo, a resident of Massachusetts, was discharged by LPL Financial...
April 11, 2018 - The Financial Industry Regulatory Authority Inc. has censured Park Avenue Securities and fined the firm $300,000 for problems in its supervision of variable annuity sales. In a letter of acceptance, waiver and consent, Finra said that from Jan. 1, 2013...
December 5, 2017 - Peter Hiltz, who managed $160 million in assets at Wells Fargo Advisors in Cincinnati, has joined Kingsview Asset Management and will open the firm's first office there. Kingsview is a registered investment adviser headquartered in Grants Pass, Ore.,...
March 9, 2016 - How does Park Avenue Securities stand out from the crowds? Learn how the company's approach, and its work with Pershing, is keeping it a step ahead.
March 3, 2016 - Park Avenue Securities has evolved dramatically over the past 20 years. Find out how these changes are helping advisers and their clients.
October 20, 2015 - Finra continued to whack independent broker-dealers for failing to give clients discounts for large purchases of complex investment products, announcing Tuesday that it had ordered a dozen firms to pay restitution and fines totaling $6.7 million. The...
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- — = Information not available or not disclosed
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