MM
Mark B. Murphy
PARK AVENUE SECURITIES LLC
FLORHAM PARK, NJ 07932
Some features on this profile are disabled
CRD#: 1545003
MM
Professional summary
Mark B Murphy, who also goes by Mark Booth Murphy, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Florham Park, New Jersey.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Mark has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mark Booth Murphy
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 Other than Guardian products, Start: 1/1/90, Address: 4 Becker Farm Rd Roseland, NJ 07068, 10 bus hrs per month, Investment related, 2. Investors Bank Advisory Board, Start: 1/1/14, Address: 101 JFK Parkway, Short Hills, NJ 07078, 1 bus hr per month, Not investment related, 3. OraCare LLC -Work with other members of the board to help develop a growth strategy for Pro Breath, LLC., Start: 7/1/12, Address: 2711 Centerville Road, Suite 400, Wilmington, DE 19808, 2 bus hr sper month, Not investment related, 4. SEQUOIA PRIVATE CLIENT GROUP-Insurance and wealth creation strategies, Start: 1/1/2000, Address: 4 Becker Farm Road Roseland, NJ 07068, 10 bus hrs per month, Investment related, 5. DOFORMS Board of Directors-Mobile forms software, Start: 5/15/15, Address: 14 COMMERCE DRIVE, Suite 303; Cranford, NJ 07016, 1.5 bus hr per month, Not investment related, 6. HR for Health- Board of Directors, Start: 7/20/17, Address: 111 Deerwood Rd #335 San Ramon, CA 94583, 1 bus hr per month, Not investment related, 7. Author-Publishing a series of books with a ghostwriter for dental practice marketplace mergers and acquisitions,. Start: 02/08/2018, 103 Eisenhower Pkwy, 2nd Floor, Roseland, NJ 07068 4 bus hrs per month, Not investment related, 8. Trust Protector Appointed as a Trust Protector with the ability to terminate a trustee, appoint a successor Trust Protector, Start: 10/22/18, Address: 103 Eisenhower Parkway, Roseland, NJ 07068, Hrs per month - Tot/bus: 25/10, Not investment related, 9. Fortune Management, Board of Directors, Start: 8/8/19, Address: 103 Eisenhower Pkwy, Roseland, NJ 07068, 10 bus hr per month, Investment related, 10. Brown & Brown Metro LLC-Responsible to refer clients to brown & brown, for placement of insurance products, Start: 8/7/19, Address: 103 Eisenhower Pkwy, Roseland, NJ 07068, 10 bus hrs per month, Investment related, 11. Sale of dental practices, I help dentist looking to buy or sell their practice, Start: 9/20/19, Address: 103 Eisenhower Pkwy, Roseland, NJ, 07068, 10 non bus hrs per month, Not investment related, 12. TruBlu Dental Management, Inc.-Position on the board of directors,. Start: 1/1/2020, Address: Delaware, 5 bus hrs per month, Not investment related, 13) Protect Yourself at All Times LLC/Boxing Manager Certification LLC-independent contractor who will create basic financial planning training material, Start: 9/17/21, Address: 2835 Meadow Way Lane, Dallas, Texas 75228, 4 total hours per month, 0 during securities trading hours, Not investment related, Less than 10% annual compensation, 14) Book - Entrepreneurial Mindset-author, Start: 1/1/22, Address: 103 Eisenhower Pkwy, Suite 308, Roseland, NJ 07068, 4 total hours per month; 0 during securities trading hours, Not investment related, No annual compensation, 15) NS Private Client Group LLC- owner Commission received from PAS Start: 1/1/22, Address: 103 Eisenhower Pkwy, Suite 308, Roseland, NJ 07068, 160 total hours per month; 160 during securities trading hours, Investment related, More than 10% annual compensation, 16) Private Client Insurance Services LLC- Owner LLC will be use for selling insurance product outside of Guardian Start: 1/1/22, Address: 103 Eisenhower Pkwy, Suite 308, Roseland, NJ 07068, 35 total hours per month; 35 during securities trading hours, Investment related, More than 10% annual compensation, 17) Applai-Board member, Start: 10/1/22, Address: 103 Eisenhower Pkwy, Suite 308, Roseland, NJ 07068, 8 total hours per month; 8 during securities trading hours, Not investment related, Less than 10% annual compensation, 18. Bank Referral Fees, Signed agreement with a bank to collect referral fees for introductions for real estate financing. Start: 10/20/24, Address: 103 Eisenhower Pkwy, Suite 308, Roseland, NJ 07068, 2 total hours per month, 2 during securities trading hours, Less than 10% annual compensation, Investment related
CRS (Client Relationship Summary) - RIA
Click below to view Mark B Murphy's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark B Murphy'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
November 15, 2002 - Present
PARK AVENUE SECURITIES LLC
Office #1: 25b Vreeland Road Suite 300, Florham Park, NJ 07932RIA
BD
CRD#: 46173
FLORHAM PARK, NJ
Current
May 3, 1999 - Present
PARK AVENUE SECURITIES LLC
Office #1: 25b Vreeland Road Suite 300, Florham Park, NJ 07932RIA
BD
CRD#: 46173
FLORHAM PARK, NJ
Past
November 18, 1986 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
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
Alabama(4/21/2003)
IAR
Alabama(7/21/2009)
RR
Alaska(3/27/2020)
IAR
Alaska(3/27/2020)
RR
Arizona(5/13/2004)
IAR
Arizona(1/31/2011)
RR
Arkansas(11/9/2016)
IAR
Arkansas(11/9/2016)
RR
California(5/3/1999)
IAR
California(4/22/2009)
RR
Colorado(4/7/2004)
IAR
Colorado(7/20/2009)
RR
Connecticut(5/3/1999)
IAR
Connecticut(7/21/2009)
RR
Delaware(5/10/2007)
IAR
Delaware(6/17/2015)
RR
District of Columbia(5/26/2006)
IAR
District of Columbia(3/20/2023)
RR
Florida(5/3/1999)
IAR
Florida(3/5/2009)
RR
Georgia(6/20/2006)
IAR
Georgia(7/22/2009)
RR
Hawaii(3/15/2006)
IAR
Hawaii(2/27/2009)
RR
Idaho(2/22/2019)
IAR
Idaho(2/22/2019)
RR
Illinois(5/3/1999)
IAR
Illinois(9/12/2014)
RR
Indiana(5/26/2006)
IAR
Indiana(2/20/2018)
RR
Iowa(1/26/2010)
IAR
Iowa(3/2/2010)
RR
Kansas(8/16/2012)
IAR
Kansas(8/16/2012)
RR
Kentucky(7/11/2006)
IAR
Kentucky(2/1/2022)
RR
Louisiana(7/11/2006)
IAR
Louisiana(3/25/2011)
RR
Maine(6/28/2006)
IAR
Maine(9/23/2009)
RR
Maryland(10/27/2005)
IAR
Maryland(10/1/2009)
RR
Massachusetts(5/18/1999)
IAR
Massachusetts(9/25/2009)
RR
Michigan(6/24/2005)
IAR
Michigan(11/20/2009)
RR
Minnesota(5/23/2018)
IAR
Minnesota(5/23/2018)
RR
Mississippi(7/5/2013)
IAR
Mississippi(7/9/2013)
RR
Missouri(1/6/2016)
IAR
Missouri(3/9/2017)
RR
Montana(9/17/2004)
IAR
Montana(2/28/2019)
RR
Nebraska(10/2/2018)
IAR
Nebraska(10/3/2018)
RR
Nevada(8/4/2005)
IAR
Nevada(10/1/2009)
RR
New Hampshire(11/14/2011)
IAR
New Hampshire(4/27/2021)
RR
New Jersey(5/3/1999)
IAR
New Jersey(11/15/2002)
RR
New Mexico(9/7/2006)
IAR
New Mexico(10/1/2009)
RR
New York(5/3/1999)
IAR
New York(4/16/2021)
RR
North Carolina(5/23/2000)
IAR
North Carolina(6/24/2013)
RR
North Dakota(10/17/2016)
IAR
North Dakota(10/22/2016)
RR
Ohio(2/15/2006)
IAR
Ohio(10/20/2017)
RR
Oklahoma(12/4/2020)
IAR
Oklahoma(12/4/2020)
RR
Oregon(9/16/2016)
IAR
Oregon(9/16/2016)
RR
Pennsylvania(5/3/1999)
IAR
Pennsylvania(4/5/2011)
RR
Puerto Rico(6/2/2023)
IAR
Puerto Rico(6/2/2023)
RR
Rhode Island(4/5/2019)
IAR
Rhode Island(8/4/2020)
RR
South Carolina(1/23/2006)
IAR
South Carolina(10/1/2009)
RR
South Dakota(11/8/2024)
IAR
South Dakota(11/12/2024)
RR
Tennessee(1/11/2019)
RR
Texas(10/27/1999)
IAR
Texas(6/4/2009)
RR
Utah(1/25/2006)
IAR
Utah(3/4/2010)
RR
Vermont(11/4/2011)
IAR
Vermont(11/10/2011)
RR
Virginia(12/18/2000)
IAR
Virginia(10/1/2009)
RR
Washington(8/30/2011)
IAR
Washington(8/30/2011)
RR
West Virginia(4/7/2004)
IAR
West Virginia(10/28/2010)
RR
Wisconsin(5/15/2019)
IAR
Wisconsin(5/15/2019)
RR
Wyoming(6/30/2019)
IAR
Wyoming(6/30/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
