DD
Darrell L. Dawes
PARK AVENUE SECURITIES LLC
BRENTWOOD, TN 37027
Some features on this profile are disabled
CRD#: 1182008
DD
Professional summary
Darrell L Dawes, who also goes by Corky Dawes, Darrell Lee Dawes, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Brentwood, Tennessee.
Darrell is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Darrell has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Corky Dawes | Darrell Lee Dawes
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. Southeast Firm LLC
I own Southeast Firm LLC which is the holding company that 3 Guardian General Agencies operate under.
Start: 02/29/2016
Address: 5040 Roswell Road
Atlanta, GA 30342
160 bus hrs per month
Investment related
2. Peachtree Planning of Tennessee, LLC
Chief Executive officer - General Agency under the Guardian GA system
Start: 01/01/2006
Address: 9019 Overlook Blvd.
Brentwood,TN 37027
Hrs per month - tot/bus: 80/2
Investment related
>10% annual compensation
3. Peachtree Planning of Georgia,LLC
CEO/ General Agent
Start: 01/01/2016
Address: 5040 Roswell Rd.
Atlanta, GA. 30342
Hrs per month - tot/bus: 150/5
Investment related
>10% annual compensation
4. Peachtree Planning of Alabama, LLC
CEO General agent
Start: 01/01/2015
Address: 2151 Highland Ave S
Birmingham, AL 35205
20 non bus hrs per month
Investment related
>10% annual compensation
5. Peachtree Planning Benefits, Inc.
CEO
Start: 03/30/1987
Address: 5040 Roswell Rd.
Atlanta, GA. 30342
0 hrs per month
Investment related
CRS (Client Relationship Summary) - RIA
Click below to view Darrell L Dawes's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Darrell L Dawes'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
July 20, 2006 - Present
PARK AVENUE SECURITIES LLC
Office #1: 101 Westpark Dr Suite 310, Brentwood, TN 37027Office #2: 5040 Roswell Road, Atlanta, GA 30342RIA
BD
CRD#: 46173
BRENTWOOD, TN
Current
December 17, 2004 - Present
PARK AVENUE SECURITIES LLC
Office #1: 101 Westpark Dr Suite 310, Brentwood, TN 37027Office #2: 5040 Roswell Road, Atlanta, GA 30342RIA
BD
CRD#: 46173
BRENTWOOD, TN
Past
September 22, 2005 - December 31, 2010
PEACHTREE PLANNING ADVISORS, INC.
RIA
CRD#: 112787
BRENTWOOD, TN
Past
February 20, 2004 - December 8, 2004
NEW ENGLAND SECURITIES
RIA
CRD#: 615
NASHVILLE, TN
Past
March 12, 2002 - December 8, 2004
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
August 22, 1983 - January 24, 2002
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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
Alabama(9/12/2006)
IAR
Alabama(7/26/2023)
RR
Arizona(9/5/2006)
RR
Arkansas(8/30/2006)
RR
California(12/6/2007)
RR
Florida(8/31/2006)
IAR
Florida(3/20/2017)
RR
Georgia(4/19/2006)
IAR
Georgia(7/24/2006)
RR
Illinois(7/29/2005)
IAR
Illinois(7/20/2006)
RR
Indiana(8/31/2006)
IAR
Indiana(6/19/2013)
RR
Kentucky(8/30/2006)
RR
Louisiana(8/30/2006)
RR
Michigan(8/16/2005)
IAR
Michigan(11/13/2009)
RR
Mississippi(8/31/2006)
RR
Missouri(9/1/2006)
RR
North Carolina(6/28/2006)
IAR
North Carolina(7/20/2006)
RR
Ohio(9/5/2006)
RR
Pennsylvania(6/17/2009)
RR
South Carolina(8/31/2006)
RR
Tennessee(12/17/2004)
IAR
Tennessee(7/20/2006)
RR
Texas(8/31/2006)
RR
Virginia(8/30/2006)
IAR
Virginia(4/8/2011)
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
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.
