AT
Autumn A. Taylor
PARK AVENUE SECURITIES LLC
North Olmsted, OH
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CRD#: 1702760
AT
Professional summary
Autumn A Taylor, who also goes by Autumn Ann Smith, Autumn Ann Taylor, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in North Olmsted, Ohio.
Autumn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Autumn has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Autumn Ann Smith | Autumn Ann Taylor
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.
INSURANCE BROKER- PRODUCTS OTHER THAN GUARDIAN
ADDRESS: NORTH OLMSTEAD, OH 44070
START DATE: 12/15/2018
2 HOURS PER MONTH/ 2 DURING NORMAL BUSINESS HOURS
NON INVESTMENT RELATED
CRS (Client Relationship Summary) - RIA
Click below to view Autumn A Taylor's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Autumn A Taylor'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
December 20, 2018 - Present
PARK AVENUE SECURITIES LLC
Office #2: 4150 Belden Village St Nw Suite 301, Canton, OH 44718RIA
BD
CRD#: 46173
North Olmsted, OH
Current
December 20, 2018 - Present
PARK AVENUE SECURITIES LLC
Office #1: 4150 Belden Village St Nw Suite 301, Canton, OH 44718RIA
BD
CRD#: 46173
Canton, OH
Past
August 8, 2017 - July 31, 2018
VICUS CAPITAL, INC.
RIA
CRD#: 116021
Cleveland, OH
Past
September 25, 2013 - June 19, 2018
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
CLEVELAND, OH
Past
September 25, 2013 - June 19, 2018
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
CLEVELAND, OH
Past
September 16, 2013 - July 25, 2018
VANTAGE FINANCIAL GROUP, INC.
RIA
CRD#: 105950
CLEVELAND, OH
Past
July 26, 2007 - August 28, 2013
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
HORSHAM, PA
Past
July 23, 2007 - August 28, 2013
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
HORSHAM, PA
Past
March 24, 2006 - June 14, 2007
WALNUT STREET SECURITIES, INC.
RIA
CRD#: 15840
CLEVELAND, OH
Past
November 4, 1992 - June 14, 2007
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
CLEVELAND, OH
Past
October 21, 1987 - November 9, 1992
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
CINCINNATI, OH
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
Kentucky(9/23/2019)
RR
Massachusetts(8/4/2019)
RR
Ohio(12/20/2018)
IAR
Ohio(12/20/2018)
RR
South Dakota(10/4/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
