Frank Desanto
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.
Frank Desanto was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1983. Frank had worked at 11 firms and has passed the Series 63, Series 65, Series 7, Series 3 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
September 3, 2008 - August 14, 2013
PARK AVENUE SECURITIES LLC
July 30, 2008 - August 14, 2013
PARK AVENUE SECURITIES LLC
July 25, 2007 - July 8, 2008
MSI FINANCIAL SERVICES, INC.
August 3, 2006 - December 12, 2006
FIDELITY BROKERAGE SERVICES LLC
December 1, 2005 - July 17, 2006
METROPOLITAN LIFE INSURANCE COMPANY
December 1, 2005 - July 17, 2006
MSI FINANCIAL SERVICES, INC.
July 19, 2005 - December 31, 2005
CITISTREET FINANCIAL SERVICES LLC
July 14, 2005 - December 31, 2005
CITISTREET EQUITIES LLC
March 8, 2005 - June 29, 2005
METROPOLITAN LIFE INSURANCE COMPANY
March 8, 2005 - June 29, 2005
MSI FINANCIAL SERVICES, INC.
April 30, 1998 - October 23, 1998
IDS LIFE INSURANCE COMPANY
April 30, 1998 - October 23, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
December 10, 1996 - April 22, 1997
PRUDENTIAL EQUITY GROUP, LLC
August 5, 1996 - December 31, 1996
NEW ENGLAND SECURITIES
May 18, 1983 - January 21, 1986
EULAV SECURITIES, INC.
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.
