MK
Michael B. Klarfeld
PARK AVENUE SECURITIES LLC
Scottsdale, AZ 85258
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CRD#: 1139498
MK
Professional summary
Michael B Klarfeld, who also goes by Michael Bruce Klarfeld, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Scottsdale, Arizona.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Michael has worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael Bruce Klarfeld
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. Kirshner & Klarfeld Financial Group
Kirshner & Klarfeld Financial Group is an insurance and financial services firm. We help clients implement life, disability and long term care insurance
Start: 06/01/2004
Address: 7373 E Doubletree Ranch Rd. Suite B-155, Scottsdale, AZ 85258
50 bus hrs per month
Investment related
>10% annual compensation
CRS (Client Relationship Summary) - RIA
Click below to view Michael B Klarfeld's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael B Klarfeld'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 10, 2012 - Present
PARK AVENUE SECURITIES LLC
Office #1: 7373 E. Doubletree Ranch Rd Suite B-155, Scottsdale, AZ 85258RIA
BD
CRD#: 46173
Scottsdale, AZ
Current
May 3, 1999 - Present
PARK AVENUE SECURITIES LLC
Office #1: 7373 E. Doubletree Ranch Rd Suite B-155, Scottsdale, AZ 85258RIA
BD
CRD#: 46173
Scottsdale, AZ
Past
July 31, 1992 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
June 3, 1991 - July 17, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
June 3, 1991 - July 17, 1992
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
February 10, 1986 - May 20, 1991
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
February 28, 1984 - February 8, 1986
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
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
Alaska(6/2/2025)
IAR
Alaska(6/2/2025)
RR
Arizona(5/3/1999)
IAR
Arizona(4/10/2012)
RR
California(5/3/1999)
IAR
California(4/25/2017)
RR
Colorado(11/2/2001)
IAR
Colorado(4/10/2012)
RR
Florida(6/29/2015)
RR
Georgia(6/25/2013)
RR
Kansas(3/11/2022)
IAR
Kansas(3/11/2022)
RR
Maryland(2/5/2019)
RR
Minnesota(10/14/2022)
IAR
Minnesota(10/14/2022)
RR
Nevada(6/9/2021)
IAR
Nevada(6/9/2021)
RR
New Mexico(7/15/2024)
RR
New York(8/22/2013)
RR
North Carolina(2/10/2025)
RR
North Dakota(7/10/2023)
RR
Oregon(2/5/2019)
IAR
Oregon(7/30/2019)
RR
South Carolina(7/16/2024)
IAR
South Carolina(7/16/2024)
RR
Texas(2/25/2020)
IAR
Texas(8/10/2021)
RR
Virginia(1/15/2020)
RR
Washington(10/14/2022)
IAR
Washington(10/14/2022)
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.
