MS
Mark W. Smiley
PARK AVENUE SECURITIES LLC
Northborough, MA 01532
Some features on this profile are disabled
CRD#: 1779383
MS
Professional summary
Mark W Smiley, who also goes by Mark William Smiley, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Northborough, Massachusetts.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Mark has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mark William Smiley
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 Product Income Commissions for servicing and serving as health insurance and other group insurance products from several vendors Start date: 01/01/1994 Address: 28 Main Street, Northborough, MA 01528, More than 10% annual compensation, 2 total hours per month, 0 during securities trading hours, Investment related 2. Business Rental Property Triple net lease from entity for $3,500 per month Start date: 01/01/2016 Address: 28 Main Street, Northborough, MA 01528 Less than 10% annual compensation, 0 total hours per month, Investment related 3. Board of Corporators at Bay Savings Savings Bank, Ambassador for the Bank and a source for providing feedback on the Banks Customer Service, Start Date: 06/01/2015, Address: 275 Mill Street, Worcester MA 01602, No annual compensation, 1 total hour per month, 0 during securities trading hours, Not Investment related, 4. Managed Wealth Strategies, LLC LLC is to be used to market all products and services approved for business/sale by Guardian/PAS, Start: 01/09/2018, Address: 28 Main Street Northborough MA 01532, 180 total hours per month, 60 during securities trading hours, Investment related 5. Rental Properly, 8405 Excalibur Circle, D3, Naples, FL 34108, Start Date: 09/26/2023, Address: 8405 Excalibur Circle, D3, Naples, FL 34108, 1 total hour per month, 0 during securities trading hours, No annual compensation, Investment related
CRS (Client Relationship Summary) - RIA
Click below to view Mark W Smiley's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark W Smiley'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
January 22, 2010 - Present
PARK AVENUE SECURITIES LLC
Office #1: 28 Main Street, Northborough, MA 01532RIA
BD
CRD#: 46173
Northborough, MA
Current
May 3, 1999 - Present
PARK AVENUE SECURITIES LLC
Office #1: 28 Main Street, Northborough, MA 01532RIA
BD
CRD#: 46173
Northborough, MA
Past
October 5, 1994 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
March 12, 1992 - October 24, 1994
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
May 28, 1991 - March 12, 1992
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
CONSHOHOCKEN, PA
Past
December 7, 1989 - June 3, 1991
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
December 7, 1989 - June 3, 1991
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
February 17, 1988 - December 13, 1989
DEAM INVESTOR SERVICES, INC.
BD
CRD#: 754
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
Alabama(8/13/2025)
IAR
Alabama(8/13/2025)
RR
Arizona(7/14/2025)
IAR
Arizona(7/14/2025)
RR
California(7/17/2008)
IAR
California(3/10/2017)
RR
Colorado(5/11/2000)
IAR
Colorado(8/19/2015)
RR
Connecticut(5/3/1999)
IAR
Connecticut(9/15/2010)
RR
Delaware(7/27/2022)
IAR
Delaware(7/28/2022)
RR
Florida(9/8/2003)
IAR
Florida(9/11/2013)
RR
Georgia(10/5/2018)
IAR
Georgia(10/5/2018)
RR
Hawaii(9/6/2023)
IAR
Hawaii(9/7/2023)
RR
Illinois(7/14/2025)
IAR
Illinois(7/17/2025)
RR
Indiana(1/5/2024)
IAR
Indiana(8/26/2024)
RR
Iowa(12/13/2024)
IAR
Iowa(12/13/2024)
RR
Maine(3/30/2000)
RR
Maryland(7/21/2011)
IAR
Maryland(3/3/2016)
RR
Massachusetts(5/3/1999)
IAR
Massachusetts(1/22/2010)
RR
New Hampshire(5/3/1999)
IAR
New Hampshire(4/21/2010)
RR
New Jersey(12/19/2007)
RR
New Mexico(10/3/2018)
IAR
New Mexico(10/3/2018)
RR
New York(5/3/1999)
IAR
New York(4/16/2021)
RR
North Carolina(12/7/2010)
IAR
North Carolina(12/8/2010)
RR
North Dakota(12/19/2023)
RR
Oregon(9/15/2010)
IAR
Oregon(9/15/2010)
RR
Pennsylvania(10/5/2018)
IAR
Pennsylvania(8/10/2021)
RR
Rhode Island(7/20/2006)
IAR
Rhode Island(5/24/2019)
RR
South Carolina(7/21/2010)
IAR
South Carolina(8/12/2014)
RR
Tennessee(4/28/2022)
RR
Texas(7/14/2025)
IAR
Texas(7/14/2025)
RR
Utah(7/14/2025)
IAR
Utah(7/14/2025)
RR
Vermont(3/1/2000)
IAR
Vermont(3/12/2019)
RR
Virginia(4/14/2022)
IAR
Virginia(4/14/2022)
RR
Washington(10/16/2024)
IAR
Washington(10/16/2024)
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#: 46173Northborough, MA 01532TRUST BUT VERIFY
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