AM
Anthony T. Mazzei
PARK AVENUE SECURITIES LLC
Garden City, NY 11530
Some features on this profile are disabled
CRD#: 1033904
AM
Professional summary
Anthony T Mazzei SR., who also goes by Anthony Thomas Mazzei Sr, Anthony Thomas Mazzei, Tony Mazzei, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Garden City, New York.
Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Anthony has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Anthony Thomas Mazzei Sr | Anthony Thomas Mazzei | Tony Mazzei
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. NATIONAL FINANCIAL NETWORK, LLC, Start: 01/01/1977, Address: 261 Madison Avenue 27th floor NY NY 10016, 1 non bus hr per month; 0 during securities trading hours, Not Investment related, Less than 10% annual compensation, 2. Rental Income to NFN, Start: 03/01/2020, Address: 45 Eisenhower Dr, Paramus, NJ, 45 Eisenhower Drive Paramus NJ, 0 hrs per month; 0 during securities trading hours, Not Investment related, Less than 10% annual compensation, 3.) Mazzmar LLC, Start: 03/01/2022, Address: 150 South Warner Road Suite 120 King Of Prussia Pa 19406, 12 total hours per month; 12 during securities trading hours, Investment related, Less than 10% annual compensation, 4) NFN Inc-Guardian General Agency, Start: 01/01/2020, Address: 261 Madison Avenue 27th Floor NY NY 10016, 40 total hours per month, 40 during securities trading hours, Investment related, More than 10% annual compensation, 5) Mazzmar Holdings LLC, Start: 03/01/2022, Address: 150 South Warner Road Suite 120 King of Prussia Pa 19406, 0 total hours per month, Not investment related, No annual compensation, 6) NFN King of Prussia, LLC-Guardian General Agency, Start: 07/01/2022, Address: 150 South Warner Road Suite 120 King of Prussia Pa 19406, 10 total hours per month, 10 during securities trading hours, Investment related, Less than 10% annual compensation, 7) NFN, Greater Hudson Financial, LLC-Guardian General Agency, Start: 07/01/2022, Address: 136-20 38Th Avenue Suite 8J Flushing NY 11354, 10 total hours per month, 10 during securities trading hours, Investment related, Less than 10% annual compensation, 8) National Financial Network - CT LLC-Guardian General Agency, Start: 03/01/2023, Address: 555 Long Wharf Drive, 11th floor, New Haven CT 06511, 10 total hours per month, 10 during securities trading hours, Investment related, Less than 10% annual compensation, 9) MMC Jersey Shore, LLC, Start Date: 9/1/2024, Address: 2111 NJ-34 Wall Township, NJ 07719, 5 total hours per month, 5 during securities trading hours, Investment related, Less than 10% annual compensation, 10) Foundation for Charity for NFN - NFN Foundation, Start Date: 11/1/2024, Address: 261 Madison Ave. 27th Fl., NY, NY 10016, 1 total hours per month, 1 during securities trading hours, Not Investment related, No annual compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Anthony T Mazzei SR.'s CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Anthony T Mazzei SR.'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®
NoneExperience
Current
August 3, 2005 - Present
PARK AVENUE SECURITIES LLC
Office #1: 900 Stewart Avenue Suite 500, Garden City, NY 11530Office #2: 555 Long Wharf Drive Suite 11a, New Haven, CT 06511Office #3: 261 Madison Avenue 27th Floor, New York, NY 10016Office #4: 150 South Warner Road Suite 120, King Of Prussia, PA 19406RIA
BD
CRD#: 46173
Garden City, NY
Current
May 3, 1999 - Present
PARK AVENUE SECURITIES LLC
Office #1: 900 Stewart Avenue Suite 500, Garden City, NY 11530Office #2: 555 Long Wharf Drive Suite 11a, New Haven, CT 06511Office #3: 261 Madison Avenue 27th Floor, New York, NY 10016Office #4: 150 South Warner Road Suite 120, King Of Prussia, PA 19406RIA
BD
CRD#: 46173
Garden City, NY
Past
August 27, 2003 - January 14, 2004
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
March 6, 2003 - May 12, 2003
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
April 25, 1995 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
March 10, 1986 - April 21, 1995
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
NEWARK, DE
Past
October 25, 1982 - April 1, 1986
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Past
October 25, 1982 - April 3, 1986
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
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
Alabama(7/17/2018)
IAR
Alabama(3/20/2023)
RR
Alaska(3/2/2009)
RR
Arizona(6/8/2000)
RR
Arkansas(4/2/2008)
RR
California(6/6/2000)
IAR
California(8/24/2005)
RR
Colorado(6/6/2000)
IAR
Colorado(3/21/2023)
RR
Connecticut(3/25/2004)
IAR
Connecticut(8/24/2005)
RR
Delaware(3/25/2004)
IAR
Delaware(10/3/2024)
RR
District of Columbia(3/25/2004)
RR
Florida(5/3/1999)
IAR
Florida(8/25/2005)
RR
Georgia(1/13/2000)
IAR
Georgia(1/28/2020)
RR
Hawaii(4/8/2009)
RR
Idaho(12/17/2018)
RR
Illinois(6/6/2000)
RR
Indiana(6/6/2000)
RR
Iowa(11/3/2024)
RR
Kansas(4/6/2009)
RR
Kentucky(5/1/2012)
RR
Louisiana(3/26/2004)
RR
Maine(6/7/2000)
IAR
Maine(3/20/2023)
RR
Maryland(3/25/2004)
RR
Massachusetts(3/25/2004)
IAR
Massachusetts(4/12/2023)
RR
Michigan(2/18/2010)
RR
Minnesota(6/8/2000)
IAR
Minnesota(11/6/2013)
RR
Mississippi(7/28/2010)
RR
Missouri(11/2/2011)
RR
Montana(3/25/2004)
RR
Nebraska(3/7/2016)
RR
Nevada(3/25/2004)
RR
New Hampshire(3/25/2004)
RR
New Jersey(5/3/1999)
IAR
New Jersey(8/3/2005)
RR
New Mexico(3/25/2004)
RR
New York(6/6/2000)
IAR
New York(4/16/2021)
RR
North Carolina(6/7/2000)
IAR
North Carolina(4/6/2023)
RR
North Dakota(3/25/2004)
RR
Ohio(11/20/2000)
IAR
Ohio(6/6/2022)
RR
Oklahoma(1/22/2013)
RR
Oregon(1/30/2015)
RR
Pennsylvania(5/3/1999)
IAR
Pennsylvania(4/5/2011)
RR
Puerto Rico(3/16/2022)
RR
Rhode Island(5/6/2005)
IAR
Rhode Island(4/6/2023)
RR
South Carolina(6/7/2000)
RR
South Dakota(9/28/2004)
RR
Tennessee(1/18/2018)
RR
Texas(6/6/2000)
RR
Utah(3/16/2022)
RR
Vermont(5/6/2005)
RR
Virginia(6/7/2000)
IAR
Virginia(4/4/2023)
RR
Washington(6/6/2000)
RR
West Virginia(5/31/2013)
IAR
West Virginia(3/24/2023)
RR
Wisconsin(3/25/2004)
IAR
Wisconsin(10/3/2024)
RR
Wyoming(2/10/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
