Daniel J. Kelleher
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Daniel John Kelleher was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1982. Daniel had worked at 13 firms and has passed the SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 25, 2011 - January 23, 2017
PARK AVENUE SECURITIES LLC
October 23, 2009 - February 8, 2011
MML INVESTORS SERVICES, LLC
December 18, 2006 - September 10, 2009
ALLSTATE FINANCIAL SERVICES, LLC
January 6, 2006 - August 10, 2006
HORNOR, TOWNSEND & KENT, LLC
January 6, 2004 - January 10, 2006
SIGNATOR INVESTORS, INC.
January 31, 2003 - September 30, 2003
PRINCIPAL SECURITIES, INC.
August 27, 2002 - January 28, 2003
1717 CAPITAL MANAGEMENT COMPANY
July 24, 2001 - June 11, 2002
PRUCO SECURITIES, LLC.
August 7, 1997 - July 18, 2001
OSAIC FS, INC.
August 12, 1996 - September 3, 1997
INVESTMENT ADVISORS & CONSULTANTS, INC.
February 27, 1992 - August 8, 1996
GUARDIAN INVESTOR SERVICES LLC
November 27, 1985 - December 31, 1991
OSAIC FS, INC.
July 24, 1985 - December 23, 1985
MONARCH SECURITIES, INC.
July 11, 1983 - November 22, 1983
MOORE & SCHLEY/MEEKER SHARKEY GROUP INC.
April 8, 1982 - December 26, 1985
1717 CAPITAL MANAGEMENT COMPANY
Primary Firm SEC Registration
PARK AVENUE SECURITIES LLC
CRD#: 46173 / SEC#: 801-58108, 8-51324
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PARK AVENUE SECURITIES LLC
CRD#: 46173 / SEC#: 801-58108, 8-51324
Contact information
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.
