LD
Laura L. Davis
PARK AVENUE SECURITIES LLC
Park Ridge, IL 60068
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CRD#: 1279947
LD
Professional summary
Laura L Davis, who also goes by Laura Lee Davis, Laura L Gatliff, Laura Lee Gatliff, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Park Ridge, Illinois.
Laura is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Laura has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Laura Lee Davis | Laura L Gatliff | Laura Lee Gatliff
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. Advanced Strategies & Design, LLC - DBA-Designing wealth accumulation and preservation strategies,. Start: 10/15/2010, Address: 350 S. Northwest Highway, Suite 300 Park Ridge, IL 60068, 240 total hours per month; 120 during securities trading hours, Investment related, More than 10% annual compensation, 2) 1727 - 29 W. Farwell Avenue Building, LLC-owner of a 7-unit apartment building, Start: 08/09/2019, Address: 1727-29 W. Farwell Ave. Chicago, IL 60626, 5 total hours per month; 0 during securities trading hours, Investment related, Less than 10% annual compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Laura L Davis's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Laura L Davis'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 13, 2006 - Present
PARK AVENUE SECURITIES LLC
Office #1: 350 South Northwest Highway Suite 338, Park Ridge, IL 60068RIA
BD
CRD#: 46173
Park Ridge, IL
Current
July 1, 2005 - Present
PARK AVENUE SECURITIES LLC
Office #1: 350 South Northwest Highway Suite 338, Park Ridge, IL 60068RIA
BD
CRD#: 46173
Park Ridge, IL
Past
October 14, 2003 - July 19, 2005
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
DOWNERS GROVE, IL
Past
February 22, 2001 - July 19, 2005
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
February 22, 2001 - July 19, 2005
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
March 14, 1994 - February 8, 2001
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
May 26, 1992 - July 19, 1994
ALEXANDER & ALEXANDER SECURITIES CORP.
BD
CRD#: 7907
HOUSTON, TX
Past
March 30, 1988 - December 18, 1990
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
August 23, 1984 - April 7, 1988
JOHN HANCOCK DISTRIBUTORS LLC
BD
CRD#: 5249
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(7/25/2005)
RR
California(2/12/2015)
IAR
California(10/26/2020)
RR
Connecticut(12/17/2024)
IAR
Connecticut(12/17/2024)
RR
Florida(1/13/2006)
IAR
Florida(11/12/2021)
RR
Georgia(7/25/2024)
RR
Illinois(7/1/2005)
IAR
Illinois(4/13/2006)
RR
Indiana(7/20/2005)
IAR
Indiana(8/10/2011)
RR
Kentucky(7/10/2020)
IAR
Kentucky(7/10/2020)
RR
Maryland(3/6/2014)
RR
Massachusetts(1/7/2020)
IAR
Massachusetts(1/7/2020)
RR
Michigan(3/28/2013)
IAR
Michigan(3/28/2013)
RR
Minnesota(2/23/2015)
IAR
Minnesota(10/19/2018)
RR
Missouri(8/8/2005)
RR
Nevada(3/16/2020)
IAR
Nevada(7/6/2020)
RR
New Jersey(7/1/2005)
RR
New York(1/5/2025)
IAR
New York(1/5/2025)
RR
North Carolina(1/21/2025)
IAR
North Carolina(1/21/2025)
RR
North Dakota(10/13/2017)
RR
Ohio(3/29/2017)
RR
Pennsylvania(11/12/2021)
IAR
Pennsylvania(11/15/2021)
RR
Puerto Rico(8/26/2025)
RR
Texas(10/6/2021)
IAR
Texas(7/28/2022)
RR
Virginia(7/5/2005)
IAR
Virginia(1/25/2023)
RR
Wisconsin(8/25/2005)
IAR
Wisconsin(9/11/2020)
IAR
Wyoming(1/7/2022)
RR
Wyoming(1/19/2022)
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.
