Richard W. Woody
PARK AVENUE SECURITIES LLC
OVERLAND PARK, KS 66210
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CRD#: 1125034
Professional summary
Richard Wayne Woody, CFP®, ChFC®, CLU®, who also goes by Richard W Woody, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Overland Park, Kansas.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Richard has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 10, Series 9, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Richard W Woody
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. CRESSUP LAKE DUCK CLUB INC. - Owner, Private duck hunting club, Start: 05/01/2005, Address: 4966 South M Highway, Schell City, MO 64783, 0 hrs per month, Not investment related, 2. The Woody Financial Group-DBA Woody Financial Group an agency of The Guardian Life Insurance Company,. Start: 12/16/2006, Address: 14670 S. Harrison Street Olathe, KS 66061, 160 bus hrs per month, Investment related, >10% annual compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Richard Wayne Woody's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Wayne Woody'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: 2000
Experience
Current
February 26, 2007 - Present
PARK AVENUE SECURITIES LLC
Office #1: 9401 Indian Creek Parkway Suite 670, Overland Park, KS 66210RIA
BD
CRD#: 46173
OVERLAND PARK, KS
Current
January 22, 2007 - Present
PARK AVENUE SECURITIES LLC
Office #1: 9401 Indian Creek Parkway Suite 670, Overland Park, KS 66210RIA
BD
CRD#: 46173
OVERLAND PARK, KS
Past
November 14, 2005 - December 8, 2006
NEW ENGLAND SECURITIES
RIA
CRD#: 615
OVERLAND PARK, KS
Past
October 7, 2005 - December 8, 2006
NEW ENGLAND SECURITIES
BD
CRD#: 615
OVERLAND PARK, KS
Past
October 30, 2002 - June 6, 2005
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
LOUISVILLE, KY
Past
January 28, 1994 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
January 28, 1994 - June 6, 2005
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
Past
July 5, 1983 - August 26, 1989
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
July 5, 1983 - August 26, 1989
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
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(5/25/2012)
IAR
Arizona(5/25/2012)
RR
Illinois(10/8/2024)
RR
Iowa(1/23/2007)
IAR
Iowa(5/16/2012)
RR
Kansas(1/22/2007)
IAR
Kansas(2/26/2007)
RR
Missouri(2/1/2007)
RR
Nebraska(9/11/2024)
RR
Ohio(3/12/2025)
IAR
Ohio(4/29/2025)
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
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 11/26/1997
General Securities Sales Supervisor Examination (Options Module & General Module)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.
Company Information
PARK AVENUE SECURITIES LLC
CRD#: 46173Overland Park, KS 66210TRUST BUT VERIFY
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