MM
Marc A. Merber
PARK AVENUE SECURITIES LLC
Garden City, NY 11530
Some features on this profile are disabled
CRD#: 1121107
MM
Professional summary
Marc A Merber, who also goes by Marc Anthony Merber, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Garden City, New York.
Marc is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Marc has worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Marc Anthony Merber
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. FV 1813 LLC, FV2614 LLC, WPH 1706 LLC, MV1107 LLC Owner of Vacation rental properties Start: 01/01/2007 Address: 200 Atlantic Ave #228; Lynbrook NY 11563 0 hrs per month Investment related 2. Insurance Sales Sale of products not offered by Guardian Start: 01/01/2014 Address: 900 Stewart Ave, Ste 500, Garden City NY 11530 10 bus hrs per month Investment related >10% annual compensation 3. Director on my Coop's Board where I reside Start Date: 02/01/2024 Lynbrook, NY 11563 2 hours/month; 0 hours/month during trading hours Not investment related
CRS (Client Relationship Summary) - RIA
Click below to view Marc A Merber's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Marc A Merber'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
April 16, 2021 - Present
PARK AVENUE SECURITIES LLC
Office #1: 900 Stewart Avenue Suite 500, Garden City, NY 11530RIA
BD
CRD#: 46173
Garden City, NY
Current
May 6, 2014 - Present
PARK AVENUE SECURITIES LLC
Office #1: 900 Stewart Avenue Suite 500, Garden City, NY 11530RIA
BD
CRD#: 46173
Garden City, NY
Past
June 11, 2004 - May 1, 2014
NEW ENGLAND SECURITIES
BD
CRD#: 615
UNIONDALE, NY
Past
June 9, 1993 - June 15, 2004
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
HARTFORD, CT
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(9/25/2018)
RR
Arkansas(2/14/2018)
RR
California(5/6/2014)
RR
Delaware(5/6/2014)
RR
Florida(5/6/2014)
RR
Georgia(9/21/2018)
RR
Hawaii(5/6/2014)
RR
Maryland(1/24/2024)
RR
Montana(1/8/2019)
RR
Nevada(3/25/2021)
RR
New Jersey(5/6/2014)
RR
New York(5/6/2014)
IAR
New York(4/16/2021)
RR
North Carolina(8/12/2016)
RR
Ohio(3/23/2020)
RR
Pennsylvania(5/6/2014)
RR
South Carolina(10/3/2019)
RR
Texas(10/7/2020)
RR
Washington(4/9/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
