Steven D. Earhart
PARK AVENUE SECURITIES LLC
King Of Prussia, PA 19406
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CRD#: 1008759
Professional summary
Steven D Earhart, CFP®, ChFC®, CLU®, who also goes by Steve Earhart, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in King Of Prussia, Pennsylvania.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Steven has worked at 5 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 22, Series 6, Series 4, Series 53, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steve Earhart
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. Insurance brokerage-Group medical, fixed annuity, DI, life, medsup,
Start: 07/01/1981,
Address: 150 South Warner Road, Suite 120 King of Prussia, PA 19406,
2 total hours per month, 2 during securities trading hours,
Less than 10% annual compensation,
Investment related,
2. Devon Financial Partners, LLC-Owner, CEO-Insurance sales and planning.,
Start: 09/16/2009,
Address: 150 South Warner Road, Suite 120 King of Prussia PA 19405,
2 total hours per month, 2 during securities trading hours,
Less than 10% annual compensation,
Investment related,
3. Associate Editor - The Society of Financial Services Professional Journal.,
Start:11/18/2020,
Address: SFSP 10 EAST ATHENS AVENUE, SUITE 224 ARDMORE, PA 19003,
2 total hours per month, 0 during securities trading hours,
No annual compensation,
Not investment related,
4. National Financial Network, LLC-Co-GA,
Start: 07/01/2022,
Address: 150 S. Warner Road, Suite 120 Ling of Prussia, PA 19406,
50 total hours per month; 40 during securities trading hours,
More than 10% annual compensation,
Investment related,
5. Chair, Board Member - Perkiomen Valley Chamber of Commerce,
Start Date: 4/03/2024,
Address: 521 W. Main Street, Ste. 103. Trappe, PA 19426,
10 total hours per month; 5 during securities trading hours,
Not Investment Related,
No Annual Compensation,
6. Name: Church Finance Committee/ tithing committee-St Elaenor Church,
Nature of Business: Advisory group to the Church,
Duties: review issues and provide ideas, select charities.
Start date: 02/01/2012,
Address: 647 Locust Street Collegeville, PA 19426,
2 total hours per month; 0 during securities trading hours,
Not investment related,
7. Name: Fraternity Alumni Board,
Nature of Business: Phi Kappa Phi Alumni Association,
Duties: Advise undergrads, discuss issues and budgets,
Start date: 04/01/2012,
Address: 409 East Fairmont Avenue, State College, PA,
1 total hour per month; 1 during securities trading hours,
Not investment related,
8. Name: Lake Paupac Club-volunteer Board,
Nature of Business: vacation home community structured as a corporation,
Duties: Board of Directors,,
Start date: 06/01/2020,
Address: East Lake Road, Greentown, PA 18426,
2 total hours per month; 0 during securities trading hours,
Not investment related,
CRS (Client Relationship Summary) - RIA
Click below to view Steven D Earhart's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Steven D Earhart's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2000
Experience
Current
October 9, 2009 - Present
PARK AVENUE SECURITIES LLC
Office #1: 150 South Warner Road Suite 120, King Of Prussia, PA 19406RIA
BD
CRD#: 46173
King Of Prussia, PA
Current
October 8, 2009 - Present
PARK AVENUE SECURITIES LLC
Office #1: 150 South Warner Road Suite 120, King Of Prussia, PA 19406RIA
BD
CRD#: 46173
King Of Prussia, PA
Past
July 30, 2002 - September 25, 2009
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
BALA CYNWYD, PA
Past
June 19, 1991 - October 8, 1993
JOHN HANCOCK DISTRIBUTORS LLC
BD
CRD#: 5249
BOSTON, MA
Past
June 14, 1991 - October 6, 2009
KARR BARTH FINANCIAL PLANNING, INC.
RIA
CRD#: 121043
BALA CYNWYD, PA
Past
October 31, 1981 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
October 31, 1981 - September 25, 2009
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
BALA CYNWYD, PA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PA
PARK AVENUE SECURITIES LLC
PARK AVENUE SECURITIES LLC
CRD#: 46173 / SEC#: 801-58108, 8-51324
RIA
Registered Investment Advisory firm - SEC (11/13/2000 Approved)District of Columbia
Registered Investment Advisory firm - SEC (1/2/2002 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(10/17/2011)
RR
Florida(10/8/2009)
IAR
Florida(10/15/2009)
RR
Georgia(5/14/2021)
IAR
Georgia(10/22/2021)
RR
New Jersey(10/8/2009)
IAR
New Jersey(10/9/2009)
RR
North Carolina(8/17/2012)
IAR
North Carolina(8/18/2014)
RR
Pennsylvania(10/8/2009)
IAR
Pennsylvania(4/5/2011)
RR
South Carolina(9/24/2014)
IAR
South Carolina(9/2/2021)
RR
Virginia(11/7/2013)
IAR
Virginia(8/18/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PA
PARK AVENUE SECURITIES LLC
PARK AVENUE SECURITIES LLC
CRD#: 46173 / SEC#: 801-58108, 8-51324
RIA
Registered Investment Advisory firm - SEC (11/13/2000 Approved)District of Columbia
Registered Investment Advisory firm - SEC (1/2/2002 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
10 Hudson Yards, New York, NY 10001
Mailing Address
10 Hudson Yards, New York, NY 10001
Phone number
+1 (888) 600-4667
Established
Delaware since 08/20/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,984
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA | OWNER | |
| BOGGS, ALLEN WARREN | HEAD OF PRODUCT & SUPERVISION | 4751363 |
| CASWELL, MARIANNE GRACE | PRESIDENT AND ELECTED MEMBER | 6424651 |
| DAVARASHVILI, KATE | FINOP/PRINCIPAL FINANCIAL OFFICER. | 5642325 |
| DESROCHERS, CARL | ELECTED MEMBER | 7807194 |
| GALLO, JOSEPH MICHAEL | CHIEF COMPLIANCE OFFICER | 3108044 |
| HERGAN, JOSHUA NEIL | GENERAL COUNSEL | 4572643 |
| LESINA, LEYLA ADA | ELECTED MEMBER | 3004323 |
| MAHER, CARLY PRITCHARD | HEAD OF WEALTH MANAGEMENT STRATEGY AND BUSINESS OPERATIONS | 4003223 |
| PERRY, MICHAEL ANDREW | ELECTED MEMBER | 2688179 |
| RYNIKER, MICHAEL JOHN | PRINCIPAL OPERATIONS OFFICER | 2474604 |
Regulatory assets under management
| Total Number of Accounts | 71,074 |
| AUM (Assets Under Management) | $ 14,998,852,974 |
Disclosures
| Regulatory Event | 20 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 01/22/2025 | ||
| 11/15/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
