BC
Brent T. Conway
PARK AVENUE SECURITIES LLC
San Ramon, CA 94583
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CRD#: 1477938
BC
Professional summary
Brent T Conway, who also goes by B Todd Conway, Brent Todd Conway, Todd Conway, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in San Ramon, California.
Brent is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Brent has worked at 14 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
B Todd Conway | Brent Todd Conway | Todd Conway
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. Deputy Grand Knight for Knights of Columbus Council #14156
I act as second in charge for all organizational functions
Start: 07/1/2019
Address: St. Mary of the Immaculate Conception Church / K of C 2015 Mt. Diablo Blvd Walnut Creek, CA 94596
10 non bus hrs per month
Not Investment related
CRS (Client Relationship Summary) - RIA
Click below to view Brent T Conway's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brent T Conway'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
January 11, 2013 - Present
PARK AVENUE SECURITIES LLC
Office #1: 12677 Alcosta Blvd Suite 340, San Ramon, CA 94583RIA
BD
CRD#: 46173
San Ramon, CA
Current
December 20, 2012 - Present
PARK AVENUE SECURITIES LLC
Office #1: 12677 Alcosta Blvd Suite 340, San Ramon, CA 94583RIA
BD
CRD#: 46173
San Ramon, CA
Past
July 24, 2009 - December 17, 2012
LPL FINANCIAL LLC
RIA
CRD#: 6413
WALNUT CREEK, CA
Past
July 24, 2009 - December 17, 2012
LPL FINANCIAL LLC
BD
CRD#: 6413
WALNUT CREEK, CA
Past
March 6, 2006 - June 15, 2009
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
SAN FRANCISCO, CA
Past
March 6, 2006 - June 15, 2009
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
SAN FRANCISCO, CA
Past
July 12, 1999 - March 6, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
May 12, 1998 - March 6, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
WALNUT CREEK, CA
Past
June 27, 1994 - July 12, 1999
BA INVESTMENT SERVICES, INC.
BD
CRD#: 12965
OAKLAND, CA
Past
March 27, 1992 - June 28, 1994
ACUMENT SECURITIES, INC.
BD
CRD#: 7661
SAN FRANCISCO, CA
Past
September 4, 1990 - June 4, 1991
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
August 9, 1990 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
BD
CRD#: 76
Past
March 20, 1990 - June 15, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
March 20, 1990 - April 13, 1993
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
January 25, 1989 - October 3, 1989
ADVENT SECURITIES, INC.
BD
CRD#: 16499
Past
April 28, 1987 - May 19, 1987
METLIFE INVESTORS DISTRIBUTION COMPANY
BD
CRD#: 6695
Past
April 9, 1987 - January 27, 1989
HAMILTON, WILLIAMS & CO., INC.
BD
CRD#: 17612
Past
March 20, 1986 - August 1, 1986
FIRST JERSEY SECURITIES, INC.
BD
CRD#: 6621
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(12/20/2012)
IAR
California(1/11/2013)
RR
Colorado(8/12/2016)
IAR
Colorado(8/15/2016)
RR
Hawaii(11/4/2022)
IAR
Hawaii(11/7/2022)
RR
Missouri(7/3/2024)
RR
Montana(9/22/2020)
IAR
Montana(9/23/2020)
RR
Nevada(8/4/2022)
IAR
Nevada(8/12/2022)
RR
New Jersey(11/9/2021)
IAR
New Jersey(11/9/2021)
RR
New York(11/6/2025)
IAR
New York(11/6/2025)
RR
Ohio(2/7/2023)
RR
Oklahoma(1/10/2022)
RR
Oregon(10/11/2016)
IAR
Oregon(10/24/2016)
RR
Texas(3/30/2023)
IAR
Texas(4/3/2023)
RR
Washington(9/22/2020)
IAR
Washington(9/22/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral 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.
Company Information
PARK AVENUE SECURITIES LLC
CRD#: 46173San Ramon, CA 94583TRUST BUT VERIFY
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