DF
Derrick Freeman
PARK AVENUE SECURITIES LLC
Jackson, MS 39211
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CRD#: 1753265
DF
Professional summary
Derrick Freeman is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Jackson, Mississippi.
Derrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Derrick has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. Insurance I provide and sell other insurance products and services other than Guardian. Start: 07/16/2010 Address: 5898 Ridgewood Rd.Suite A; Jackson, MS 39211 10 bus hrs per month Investment related 2. TTEE for family member 401K Solo Plan Co-Trustee of Solo 401k Plan. Start: 06/10/2012 Address: 1005 Bayridge Dr. Jackson, MS 39211 1 bus hr per month Investment related 3. Freeman Consulting Services, LLC- set up for tax purposes Start: 01/01/2019 Address: 1005 Bayridge Dr. Jackson, MS 39211 o Hrs per month Not investment related no compensation
CRS (Client Relationship Summary) - RIA
Click below to view Derrick Freeman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Derrick Freeman'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 9, 2021 - Present
PARK AVENUE SECURITIES LLC
Office #1: 5898 Ridgewood Rd. Suite A, Jackson, MS 39211RIA
BD
CRD#: 46173
Jackson, MS
Current
July 22, 2010 - Present
PARK AVENUE SECURITIES LLC
Office #1: 5898 Ridgewood Rd. Suite A, Jackson, MS 39211RIA
BD
CRD#: 46173
Jackson, MS
Past
June 16, 2010 - June 29, 2010
IFS SECURITIES
BD
CRD#: 40375
JACKSON, MS
Past
March 7, 2008 - June 17, 2010
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
JACKSON, MS
Past
August 30, 2002 - February 21, 2008
STERNE, AGEE & LEACH, INC.
BD
CRD#: 791
RIDGELAND, MS
Past
June 30, 1995 - September 10, 2002
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
November 25, 1987 - July 5, 1995
MORGAN KEEGAN & COMPANY, LLC
BD
CRD#: 4161
MEMPHIS, TN
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
Alabama(6/17/2022)
RR
Florida(2/4/2015)
IAR
Florida(2/10/2021)
RR
Georgia(2/18/2021)
IAR
Georgia(2/18/2021)
RR
Louisiana(6/30/2011)
IAR
Louisiana(2/12/2021)
RR
Minnesota(1/30/2015)
RR
Mississippi(7/22/2010)
IAR
Mississippi(2/10/2021)
RR
North Carolina(9/21/2020)
RR
South Carolina(12/9/2022)
IAR
South Carolina(12/12/2022)
RR
Texas(9/4/2014)
IAR
Texas(2/9/2021)
RR
Virginia(12/3/2014)
IAR
Virginia(2/11/2021)
Exams
State Security Law Exam
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#: 46173Jackson, MS 39211TRUST BUT VERIFY
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