AK
Adam S. Kaufman
PARK AVENUE SECURITIES LLC
Melville, NY 11747
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CRD#: 1265372
AK
Professional summary
Adam S Kaufman, who also goes by Adam Steven Kaufman, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Melville, New York.
Adam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Adam has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 10, Series 9 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Adam Steven Kaufman
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. EKM ASSOCIATES-facilitate the placing of non-Guardian business for brokers, Start: 03/01/2014, Address: 225 Broadhollow. Rd, Melville, NY. 11747, 1 total hour per month, 1 during securities trading hours, Investment related, Less than 10% annual compensation, 2. Sound Wealth Financial Group LLC-Guardian agency prior to our merger with Wealth Advisory Group which is our current name. I still retain the Sound Wealth Financial Group name as an entity but do not produce Guardian or PAS business through that entity, Start: 01/01/2010, Address: 225 Broadhollow. Rd, Melville, NY. 11747, 1 total hour per month, 1 during securities trading hours Investment related, No annual compensation, 3. Wealth Advisory Group (WAG)-DBA that my Guardian agency uses,. Start: 03/01/2016, Address: 225 Broadhollow. Rd, Ste 105 Melville, NY. 11747, 160 total hours per month, 160 during securities trading hours, Investment related, >10% annual compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Adam S Kaufman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Adam S Kaufman'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: 225 Broadhollow Road Suite 105, Melville, NY 11747RIA
BD
CRD#: 46173
Melville, NY
Current
September 15, 2009 - Present
PARK AVENUE SECURITIES LLC
Office #1: 225 Broadhollow Road Suite 105, Melville, NY 11747RIA
BD
CRD#: 46173
Melville, NY
Past
February 4, 1986 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
August 24, 1984 - September 10, 2009
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
COMMACK, 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
California(9/15/2009)
IAR
California(9/6/2023)
RR
Colorado(5/5/2010)
IAR
Colorado(9/12/2023)
RR
Connecticut(9/15/2009)
IAR
Connecticut(9/9/2022)
RR
District of Columbia(8/26/2010)
RR
Florida(4/22/2010)
IAR
Florida(10/12/2022)
RR
Georgia(8/26/2010)
IAR
Georgia(9/11/2023)
RR
New Jersey(9/15/2009)
IAR
New Jersey(7/29/2022)
RR
New York(9/15/2009)
IAR
New York(4/16/2021)
RR
Pennsylvania(9/15/2009)
IAR
Pennsylvania(9/9/2022)
RR
South Carolina(6/15/2010)
IAR
South Carolina(9/14/2022)
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
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#: 46173Melville, NY 11747TRUST BUT VERIFY
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