AL
Andrew P. Link
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CRD#: 1281648
AL
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Andrew P Link, who also goes by Andrew Philip Link, Andy Link, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1984. Andrew had worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24, Series 26 and Series 12 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Andrew Philip Link | Andy Link
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. AFJ REAL ESTATE RENTALS
5 rental units
Start: 01/01/2003
Address: 2600 Maurice Ave Missoula, MT 59801
1 non bus hr per month
Investment related
2. Northern Rockies Building, LLC
This LLC owns the office building in Missoula that Guardian rents space from
Start: 10/10/1992
Address: 1014 South Avenue West Missoula, MT 59801
1 non bus hr per month
Investment related
3. Water Buffalo Lodge, LLC
A vacation condo that is often rented. This is the LLC that owns my Big Horn Condo in Big Sky, MT.
Start: 01/01/1999
Address: Big Horn 43 Big Sky, MT
0 hrs per month
Investment related
4. Kestrel Crossdock, LLC
This is a truck depot rented to USF Reddaway, a subsidiary of YRC Trucking.
Start: 08/01/2010
Address: 7180 Kestrel Drive Missoula, MT 59801
0 hrs per month
Investment related
5. One Arm Partnership
Renting to a commercial tenant.
Start: 01/01/2005
Address: 2825 Stockyard Road C4 Missoula, MT 59808
2 non bus hrs per month
Investment related
6. Other Outside Guardian Insurance Products
Start: 05/01/2008
Address: 1014 South Ave W Missoula, MT 59801
Hrs per month - Tot/Bus: 3/2
Investment related
7. Reserve Street Properties.
Renting to a commercial tenant.
Start: 01/01/2005
Address: 2825 Stockyard Road C5 and C6 Missoula, MT 59808
2 non bus hrs per month
Investment related
8. Apartments
Build a 16 apartment complex - maintain ownership of 8
Start: 04/01/2016
Address: No physical address at this point....to be built in Cord d'Alene Idaho
Hrs per month - Bus/Tot: 2/6
Investment related
9. Northern Rockies Financial Group
Retired General Agent/President of Northern Rockies Financial Group
Start: 11/01/1994
Address: 1014 South Ave W
Missoula Montana 59801
20 non bus hrs per month
Investment related
>10% annual compensation
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
July 12, 2013 - March 7, 2025
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
MISSOULA, MT
Past
May 3, 1999 - March 7, 2025
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
MISSOULA, MT
Past
November 15, 1994 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
August 24, 1989 - November 21, 1994
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
October 16, 1984 - November 21, 1994
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
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
RR
Series 12
Date: 5/8/1992
NYSE Branch Manager ExaminationCurrent 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.
