Ernest J. Guerriero

PARK AVENUE SECURITIES LLC

SAUGERTIES, NY

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CRD#: 1674789

Professional summary

Ernest J Guerriero, who also goes by Ernest John Guerriero, Ernie Guerriero, Ernest Guerriero, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Saugerties, New York.

Ernest is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Ernest has worked at 14 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ernest John Guerriero | Ernie Guerriero | Ernest Guerriero

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) Property and Casualty License-, Stare date: 01/01/1987, Address: 22 Prospect Street, Saugerties, NY 12477, 4 total hours per month 4 during securities trading hours, Investment related, Less than 10% annual compensation, 2) The Society of Financial Service Professionals- BOD, Stare date: 08/11/2014, Address: 19 Campus Blvd., Suite 100 Newtown Square, PA 19073, 5 total hours per month 5 during securities trading hours, Not investment related, No annual compensation, 3) The American College- Independent contractor, Stare date: 09/21/2022, Address: 630 Allendale Road, Suite 400, King of Prussia, PA 19406, 8 total hours per month ,8 during securities trading hours, Not investment related, Less than 10% annual compensation,

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ernest J Guerriero's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Ernest J Guerriero's CRS (Customer Relationship Summary).

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®

None

Experience

Current

December 11, 2020 - Present

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

SAUGERTIES, NY

Current

December 10, 2020 - Present

PARK AVENUE SECURITIES LLC

Office #1: 10 Hudson Yards, New York, NY 10001

RIA

CRD#: 46173

New York, NY

Past

October 23, 2020 - November 13, 2020

USA FINANCIAL SECURITIES LLC

RIA

CRD#: 103857

Binghampton, NY

Past

April 27, 2020 - November 13, 2020

USA FINANCIAL SECURITIES LLC

CRD#: 103857

Binghampton, NY

Past

July 17, 2014 - April 30, 2018

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

NEW YORK, NY

Past

October 16, 2012 - April 30, 2018

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

Past

December 14, 2009 - October 16, 2012

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

May 20, 2009 - November 30, 2009

AMERITAS INVESTMENT COMPANY, LLC

RIA

CRD#: 14869

SAUGERTIES, NY

Past

May 12, 2009 - November 30, 2009

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

LINCOLN, NE

Past

April 4, 2007 - April 17, 2009

EQUITY SERVICES, INC.

RIA

CRD#: 265

MONTPELIER, VT

Past

March 26, 2007 - April 17, 2009

EQUITY SERVICES, INC.

CRD#: 265

MONTPELIER, VT

Past

January 31, 2006 - February 20, 2007

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

KINGSTON, NY

Past

July 18, 2005 - February 1, 2006

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

January 21, 2005 - July 5, 2005

ENTERPRISE FUND DISTRIBUTORS, INC.

CRD#: 883

ATLANTA, GA

Past

May 9, 2001 - January 6, 2005

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

Past

January 6, 1997 - January 29, 2001

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

WAVERLY, IA

Past

January 1, 1996 - December 31, 1996

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

Past

June 25, 1991 - January 1, 1996

OLD SLIP CAPITAL MANAGEMENT, INC.

CRD#: 7360

NEW YORK, NY

Past

May 4, 1989 - May 6, 1991

TOWER SQUARE SECURITIES, INC.

CRD#: 833

EL SEGUNDO, CA

Past

May 19, 1987 - June 2, 1989

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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".

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)

Broker-Dealer Firm Regulated by FINRA (New York district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

IAR

Delaware
(10/7/2022)

Delaware
(10/17/2022)

New York
(12/11/2020)

IAR

New York
(4/16/2021)

North Carolina
(12/10/2020)

IAR

North Carolina
(12/11/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 10/22/2020

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/9/2014

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 4/30/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/19/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/9/1987

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

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)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PAS FORM ADV REVISED FIRM BROCHURE (3/19/2025)

VESTWISE (3/19/2025)

PARK AVENUE UMA/SMA SELECT AND STRATEGIST SELECT/STRATEGIST SELECT PLUS (3/19/2025)

PARK AVENUE SIGNATURE PORTFOLIO (3/19/2025)

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	Cover Page	Report
01/22/2025	Cover Page	Report
11/15/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Ernest J. Guerriero

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ernest J Guerriero's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Ernest J Guerriero's CRS (Customer Relationship Summary).

Certified licenses

Experience

PARK AVENUE SECURITIES LLC

USA FINANCIAL SECURITIES LLC

USA FINANCIAL SECURITIES LLC

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

GUARDIAN INVESTOR SERVICES LLC

AMERITAS INVESTMENT COMPANY, LLC

AMERITAS INVESTMENT COMPANY, LLC

EQUITY SERVICES, INC.

EQUITY SERVICES, INC.

CETERA INVESTMENT SERVICES LLC

MML INVESTORS SERVICES, LLC

ENTERPRISE FUND DISTRIBUTORS, INC.

MONY SECURITIES CORPORATION

CUNA BROKERAGE SERVICES, INC.

LOCUST STREET SECURITIES, INC.

OLD SLIP CAPITAL MANAGEMENT, INC.

TOWER SQUARE SECURITIES, INC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

PARK AVENUE SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/22/2020

Series 65

Date: 7/9/2014

SIE

Date: 4/30/2018

Series 7

Date: 12/19/2006

Series 6

Date: 5/9/1987

FINRA

Current Firm

PARK AVENUE SECURITIES LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

PARK AVENUE SECURITIES LLC

TRUST BUT VERIFY

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