PP
Patricia M. Picardi
PARK AVENUE SECURITIES LLC
Pottstown, PA 19464
Some features on this profile are disabled
CRD#: 1317184
PP
Professional summary
Patricia M Picardi, ChFC®, CLU®, who also goes by Patricia A Miller, Patricia Ann Miller, Patty Ann Miller, Patricia A Picardi, Patricia Ann Picardi, Patricia Miller Picardi, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Pottstown, Pennsylvania.
Patricia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Patricia has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Patricia A Miller | Patricia Ann Miller | Patty Ann Miller | Patricia A Picardi | Patricia Ann Picardi | Patricia Miller Picardi
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 SERVICES (PRODUCTS OTHER THAN GUARDIAN), Start: 10/30/2002, Address: 758 E High Street, Pottstown, PA 19464, 1 bus hr per month, Investment related, 2. Panda G LLC-properties, Start: 05/01/2008, Address: 758 East High Street Pottstown, PA 19464 and 636 Village Drive, Pottstown, PA 19464, Hrs per month - Tot/Bus: 6/2, Investment related, 3. Medicare Supplement Insurance, Start: 04/01/2015, Address: 347 Pottstown Pike #200, Exton, PA 19341 West Chester, PA 19380, 1 bus hr per month, Investment related, 4. PPK Family Revocable Trust, Start Date: 1/15/2025, Address: 26595 Raphis Royale Blvd., Englewood, FL 34223, 2 total hours per month; 1 during securities trading hours, Investment related, Less than 10% annual compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Patricia M Picardi's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Patricia M Picardi'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®
Experience
Current
August 25, 2009 - Present
PARK AVENUE SECURITIES LLC
Office #1: 758 East High Street 1st Floor, Pottstown, PA 19464RIA
BD
CRD#: 46173
Pottstown, PA
Current
October 30, 2002 - Present
PARK AVENUE SECURITIES LLC
Office #1: 758 East High Street 1st Floor, Pottstown, PA 19464RIA
BD
CRD#: 46173
Pottstown, PA
Past
October 1, 2002 - October 22, 2002
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
PHOENIX, AZ
Past
February 13, 1985 - October 1, 2002
AMERICAN GENERAL EQUITY SERVICES CORPORATION
BD
CRD#: 5435
HOUSTON, TX
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(5/5/2004)
IAR
California(8/25/2009)
RR
Colorado(2/22/2019)
RR
Connecticut(2/25/2009)
RR
Delaware(5/17/2017)
IAR
Delaware(5/17/2017)
RR
District of Columbia(9/28/2017)
IAR
District of Columbia(10/2/2017)
RR
Florida(4/30/2003)
IAR
Florida(10/23/2013)
RR
Idaho(1/13/2023)
RR
Illinois(12/8/2008)
IAR
Illinois(8/14/2019)
RR
Kentucky(11/10/2023)
IAR
Kentucky(11/10/2023)
RR
Maryland(9/11/2007)
IAR
Maryland(7/3/2019)
RR
Massachusetts(7/7/2015)
IAR
Massachusetts(7/16/2015)
RR
Michigan(2/24/2017)
RR
Minnesota(8/12/2010)
RR
Missouri(2/21/2019)
RR
New Jersey(5/5/2004)
IAR
New Jersey(10/24/2014)
RR
New York(4/30/2003)
RR
North Carolina(10/5/2022)
IAR
North Carolina(10/5/2022)
RR
Oregon(1/19/2024)
IAR
Oregon(1/19/2024)
RR
Pennsylvania(10/30/2002)
IAR
Pennsylvania(4/5/2011)
RR
South Carolina(2/17/2022)
IAR
South Carolina(2/17/2022)
RR
Texas(10/5/2017)
IAR
Texas(1/5/2022)
RR
Virginia(4/30/2003)
IAR
Virginia(5/31/2017)
RR
Washington(9/27/2017)
IAR
Washington(9/27/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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#: 46173Pottstown, PA 19464TRUST BUT VERIFY
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