ER
Eric Rios
PARK AVENUE SECURITIES LLC
WALL, NJ 07719
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CRD#: 1170482
ER
Professional summary
Eric Rios is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Wall, New Jersey.
Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Eric has worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) Insurance Sales-Offering fixed insurance products (Term and whole life) with other mutual based companies, Start: 05/01/2017, Address: 2111 Route 34 South Wall, NJ 07719. 5 bus hr per month: 5 hours during normal securities trading hours; Investment related, Less than 10% annual compensation, 2) Eric Rios guest speaker- speak and lecture on financial literacy, using compliance approved presentations, to business owners, students of finance, or groups, Start: 04/10/2023, Address: 401 Center St Forked River, NJ 08731, 2 total hours per month: 0 hours during securities trading hours, Not investment related, Less than 10% annual compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Eric Rios's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Eric Rios'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
October 11, 2016 - Present
PARK AVENUE SECURITIES LLC
Office #1: 2111 Rt 34 South Suite 100, Wall, NJ 07719RIA
BD
CRD#: 46173
WALL, NJ
Current
March 4, 2014 - Present
PARK AVENUE SECURITIES LLC
Office #1: 2111 Rt 34 South Suite 100, Wall, NJ 07719RIA
BD
CRD#: 46173
WALL, NJ
Past
May 19, 2000 - December 5, 2013
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
October 29, 1997 - June 11, 1998
THE THERMOPYLAE GROUP, INC.
BD
CRD#: 3059
NEW YORK, NY
Past
June 27, 1997 - October 21, 1997
INSTITUTIONAL EQUITY CORPORATION
BD
CRD#: 19628
DALLAS, TX
Past
May 27, 1997 - July 18, 1997
SHAMUS GROUP, INC.
BD
CRD#: 5036
Past
December 13, 1996 - May 23, 1997
FIRST CAMBRIDGE SECURITIES CORPORATION
BD
CRD#: 21846
NEW YORK, NY
Past
April 8, 1996 - January 1, 1997
H.J. MEYERS & CO., INC.
BD
CRD#: 15609
ROCHESTER, NY
Past
May 17, 1995 - April 9, 1996
STRATTON OAKMONT INC.
BD
CRD#: 18692
LAKE SUCCESS, 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
Arkansas(9/29/2023)
RR
California(3/10/2021)
IAR
California(8/3/2021)
RR
Connecticut(7/19/2017)
IAR
Connecticut(7/19/2017)
RR
Florida(8/17/2015)
IAR
Florida(10/11/2016)
RR
Georgia(2/22/2021)
RR
Maine(11/1/2019)
IAR
Maine(11/1/2019)
RR
Maryland(3/6/2025)
RR
Massachusetts(2/19/2020)
IAR
Massachusetts(2/20/2020)
RR
New Jersey(3/11/2014)
IAR
New Jersey(10/12/2016)
RR
New York(3/12/2014)
IAR
New York(4/16/2021)
RR
North Carolina(5/22/2020)
IAR
North Carolina(2/3/2021)
RR
Ohio(9/4/2024)
IAR
Ohio(9/4/2024)
RR
Pennsylvania(1/4/2019)
IAR
Pennsylvania(1/4/2019)
RR
Texas(2/1/2022)
IAR
Texas(2/2/2022)
RR
Virginia(4/1/2021)
IAR
Virginia(12/5/2024)
Exams
State Security Law Exam
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.
Company Information
PARK AVENUE SECURITIES LLC
CRD#: 46173Wall, NJ 07719TRUST BUT VERIFY
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