David W. Schwartz
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.
David William Schwartz, who also goes by David W Schwartz, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1987. David had worked at 12 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 25, 2012 - November 16, 2012
PARK AVENUE SECURITIES LLC
June 19, 2012 - November 16, 2012
PARK AVENUE SECURITIES LLC
January 13, 2010 - August 5, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
June 8, 2006 - December 17, 2009
PEOPLES ADVISORS
September 6, 2005 - August 5, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
May 2, 2005 - July 27, 2005
CETERA WEALTH SERVICES, LLC
August 1, 2002 - August 2, 2004
LPL FINANCIAL LLC
October 1, 2001 - August 1, 2002
BNY MELLON SECURITIES LLC
December 6, 2000 - October 1, 2001
NATHAN & LEWIS SECURITIES, INC.
October 1, 1999 - November 16, 2000
IFMG SECURITIES, INC.
November 25, 1998 - October 1, 1999
MARKETING ONE SECURITIES, INC.
May 1, 1998 - November 23, 1998
FIRST UNION BROKERAGE SERVICES, INC.
July 3, 1996 - May 1, 1998
IFMG SECURITIES, INC.
April 29, 1996 - July 2, 1996
INDEPENDENT FINANCIAL SECURITIES, INC.
April 28, 1987 - May 14, 1996
PRUCO SECURITIES, LLC.
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.
