MV
Mark W. Vannatta
PARK AVENUE SECURITIES LLC
Poway, CA
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CRD#: 1021911
MV
Professional summary
Mark W Vannatta, CFP®, who also goes by Mark Wesley Vannatta, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Poway, California.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Mark has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mark Wesley Vannatta
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Mark W Vannatta's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark W Vannatta'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: 2004
Experience
Current
September 2, 2004 - Present
PARK AVENUE SECURITIES LLC
Office #2: 5280 Carroll Canyon Road Suite 300, San Diego, CA 92121RIA
BD
CRD#: 46173
Poway, CA
Current
September 1, 2004 - Present
PARK AVENUE SECURITIES LLC
Office #1: 5280 Carroll Canyon Road Suite 300, San Diego, CA 92121RIA
BD
CRD#: 46173
San Diego, CA
Past
September 15, 2003 - August 12, 2004
WEALTH ANALYTICS, INC.
RIA
CRD#: 127241
SAN DIEGO, CA
Past
July 11, 2003 - August 2, 2004
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
SAN DIEGO, CA
Past
July 8, 2002 - August 2, 2004
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
CONSHOHOCKEN, PA
Past
February 7, 2002 - June 20, 2002
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
September 16, 1991 - March 26, 2002
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
Past
September 13, 1989 - June 3, 1991
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
June 3, 1982 - May 26, 1989
MONY SECURITIES CORPORATION
BD
CRD#: 4386
Past
March 15, 1982 - May 26, 1989
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
BD
CRD#: 2873
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
Arizona(6/7/2017)
IAR
Arizona(6/8/2017)
RR
Arkansas(2/8/2023)
IAR
Arkansas(2/8/2023)
RR
California(9/1/2004)
IAR
California(9/2/2004)
RR
Colorado(4/18/2025)
RR
Florida(3/18/2020)
IAR
Florida(12/22/2020)
RR
Georgia(10/28/2021)
IAR
Georgia(10/29/2021)
RR
Hawaii(6/8/2006)
IAR
Hawaii(6/22/2006)
RR
Idaho(4/22/2021)
IAR
Idaho(5/6/2022)
RR
New York(7/3/2019)
IAR
New York(4/16/2021)
RR
Ohio(12/16/2004)
IAR
Ohio(6/29/2011)
RR
Oklahoma(7/15/2024)
RR
Oregon(8/1/2020)
IAR
Oregon(8/12/2020)
RR
Rhode Island(6/28/2023)
RR
Texas(11/9/2004)
IAR
Texas(2/15/2011)
RR
Washington(1/4/2016)
IAR
Washington(1/4/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
