Michael P. Mcguire
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.
Michael Patrick Mcguire, who also goes by Michael Mcguire, Mike Mcguire, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1986. Michael had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 5, 2011 - January 23, 2017
PARK AVENUE SECURITIES LLC
March 25, 2008 - January 23, 2017
PARK AVENUE SECURITIES LLC
May 18, 2007 - September 27, 2007
ON INVESTMENT MANAGEMENT CO
May 18, 2007 - September 27, 2007
THE O.N. EQUITY SALES COMPANY
March 25, 2005 - December 31, 2006
NEW ENGLAND SECURITIES
February 22, 2005 - January 3, 2007
NEW ENGLAND SECURITIES
December 8, 2003 - January 28, 2005
MMA SECURITIES LLC
December 21, 2001 - December 9, 2003
SECURIAN FINANCIAL SERVICES, INC.
January 23, 1998 - December 31, 2000
WALNUT STREET SECURITIES, INC.
November 5, 1996 - January 22, 1998
GUARDIAN INVESTOR SERVICES LLC
January 12, 1993 - November 20, 1996
CETERA WEALTH SERVICES, LLC
August 17, 1989 - January 1, 1993
FIRST LINCOLN INVESTMENTS, INC.
July 2, 1987 - August 26, 1989
TRANSAMERICA SECURITIES SALES CORPORATION
July 2, 1987 - August 26, 1989
TRANSAMERICA FINANCIAL ADVISORS, INC.
July 16, 1986 - June 23, 1987
NEW ENGLAND SECURITIES
Primary Firm SEC Registration
PARK AVENUE SECURITIES LLC
CRD#: 46173 / SEC#: 801-58108, 8-51324
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PARK AVENUE SECURITIES LLC
CRD#: 46173 / SEC#: 801-58108, 8-51324
Contact information
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.
