WM
William Margolis
PARK AVENUE SECURITIES LLC
Hollywood, FL 33021
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CRD#: 1743378
WM
Professional summary
William Margolis, who also goes by Memo Margolis, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Hollywood, Florida.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. William has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Memo Margolis
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) Power of Attorney for my mothers Trust POA, Start date: 02/16/2022, Address: 17597 Ashbourne Ln Apt. C Boca Raton, FL, 33496, 1 total hour per month; 0 during securities trading hours, Investment related, No annual compensation, 2) Power of Attorney for Kristi Margolis (Wife), Start date: 11/08/2023, Address: 3410 Emerald Pointe Dr. # 305 B Hollywood , FL 33021, 0 total hours per month, Not Investment related, No annual compensation,
CRS (Client Relationship Summary) - RIA
Click below to view William Margolis's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William Margolis'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
July 15, 2009 - Present
PARK AVENUE SECURITIES LLC
Office #1: 4000 Hollywood Blvd 310 N, Hollywood, FL 33021Office #2: One Biscayne Tower 2 South Biscayne Blvd 1740, Miami, FL 33131RIA
BD
CRD#: 46173
Hollywood, FL
Current
September 23, 2008 - Present
PARK AVENUE SECURITIES LLC
Office #1: 4000 Hollywood Blvd 310 N, Hollywood, FL 33021Office #2: One Biscayne Tower 2 South Biscayne Blvd 1740, Miami, FL 33131RIA
BD
CRD#: 46173
Hollywood, FL
Past
November 18, 2004 - April 6, 2005
STG SECURE TRADING GROUP, INC.
BD
CRD#: 41216
BOCA RATON, FL
Past
July 1, 2003 - July 10, 2003
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
RICHMOND, VA
Past
July 1, 2003 - July 10, 2003
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
January 3, 1997 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
RIA
CRD#: 7471
MIAMI, FL
Past
January 10, 1991 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
January 2, 1991 - January 7, 1991
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
Past
October 11, 1989 - January 18, 1991
GRUNTAL & CO., L.L.C.
BD
CRD#: 372
NEW YORK, NY
Past
October 20, 1987 - October 14, 1989
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
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
California(3/9/2022)
IAR
California(3/9/2022)
RR
Florida(9/26/2008)
IAR
Florida(7/15/2009)
RR
Nevada(3/29/2022)
IAR
Nevada(3/31/2022)
RR
New York(2/8/2022)
IAR
New York(2/8/2022)
RR
Pennsylvania(8/12/2025)
IAR
Pennsylvania(8/13/2025)
RR
South Carolina(1/27/2022)
IAR
South Carolina(1/5/2023)
RR
Tennessee(9/24/2021)
RR
Texas(5/24/2022)
IAR
Texas(5/24/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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#: 46173Hollywood, FL 33021TRUST BUT VERIFY
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