SD
Stephen L. Derrick
PARK AVENUE SECURITIES LLC
Annapolis, MD 21401
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CRD#: 1638542
SD
Professional summary
Stephen L Derrick, who also goes by Stephen Lee Derrick, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Annapolis, Maryland.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Stephen has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stephen Lee Derrick
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) COMPLETE FINANCIAL SERVICES-general agency with Federal Kemper Life. Still receiving residual income through Complete Financial Services,
Start: 06/06/1998,
Address: 1831K Forest Drive Annapolis, MD 21401,
2 bus hrs per month,
Investment related,
2) President - South County Rotary Club,
Start: As of 07/01/2024 serving as Vice President/President Elect. President as of 7/1/2025.
Address: P.O. Box 131 Edgewater, MD 21037,
10 total hours per month; 5 during securities trading hours,
Not Investment related,
No Annual Compensation,
3) Executor- Executor of parents estate at some time in the future when appropriate,
Start date: 11/29/2022,
Address: N/A
1 total hours per month; 1 during securities trading hours,
Not Investment related,
No annual compensation,
4) Co-Executor of Cousin's Estate - David Bertelson,
Start date: 02/01/2023,
Address: 3756 Colliers Drive, Edgewater, MD 21037,
2 total hours per month; 2 during securities trading hours,
Not Investment related,
No annual compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Stephen L Derrick's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stephen L Derrick'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
February 13, 2003 - Present
PARK AVENUE SECURITIES LLC
Office #1: 1831 Forest Drive Suite K, Annapolis, MD 21401RIA
BD
CRD#: 46173
Annapolis, MD
Current
May 3, 1999 - Present
PARK AVENUE SECURITIES LLC
Office #1: 1831 Forest Drive Suite K, Annapolis, MD 21401RIA
BD
CRD#: 46173
Annapolis, MD
Past
July 1, 1992 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
April 4, 1987 - July 2, 1992
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
HARTFORD, CT
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
Arizona(5/3/1999)
RR
Delaware(3/28/2019)
RR
District of Columbia(5/3/1999)
RR
Florida(3/28/2019)
RR
Maryland(5/3/1999)
IAR
Maryland(2/13/2003)
RR
Minnesota(10/27/2021)
RR
North Carolina(2/23/2021)
RR
Pennsylvania(3/28/2019)
RR
South Carolina(5/13/2025)
RR
Texas(3/25/2019)
RR
Virginia(5/3/1999)
RR
West Virginia(3/25/2011)
Exams
State Security Law 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.
Company Information
PARK AVENUE SECURITIES LLC
CRD#: 46173Annapolis, MD 21401TRUST BUT VERIFY
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