Michael R. Davis
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 R Davis, who also goes by Michael Roger Davis, Michael Leonhardt, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1987. Michael had worked at 8 firms and has passed the 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
March 31, 2014 - December 31, 2016
PARK AVENUE SECURITIES LLC
January 13, 2014 - December 31, 2016
PARK AVENUE SECURITIES LLC
March 7, 2013 - December 20, 2013
MML INVESTORS SERVICES, LLC
November 21, 2012 - December 20, 2013
MML INVESTORS SERVICES, LLC
February 10, 2012 - October 11, 2012
FIFTH THIRD SECURITIES, INC.
February 17, 2006 - February 15, 2012
PARK AVENUE SECURITIES LLC
January 12, 2005 - February 15, 2012
PARK AVENUE SECURITIES LLC
January 1, 2000 - January 10, 2005
OSAIC FA, INC.
December 14, 1995 - January 10, 2005
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
December 14, 1995 - January 10, 2005
OSAIC FA, INC.
May 17, 1991 - December 15, 1995
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 2, 1989 - May 20, 1991
BROOKLIGHT PLACE SECURITIES, INC.
January 7, 1987 - August 15, 1989
PW SECURITIES, INC.
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.
