Geoffrey M. Barrett
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Geoffrey M Barrett, who also goes by Geoffrey Michael Barrett, was a registered financial professional .
Geoffrey is a previously registered financial professional and started their career in finance in 1988. Geoffrey had worked at 13 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 2015 - July 25, 2017
PARK AVENUE SECURITIES LLC
January 9, 2015 - October 8, 2015
CPS FINANCIAL & INSURANCE SERVICES, INC.
March 14, 2012 - December 31, 2012
PORTSMOUTH FINANCIAL SERVICES
October 17, 2008 - July 22, 2011
HIMCO DISTRIBUTION SERVICES COMPANY
May 9, 2007 - August 1, 2008
INTEGRITY ALLIANCE, LLC.
October 11, 2004 - May 10, 2005
FINANCIAL TELESIS INC
February 21, 2003 - October 4, 2004
GREENBOOK SECURITIES, INC.
January 18, 2002 - November 14, 2002
SECURITIES AMERICA, INC.
November 5, 2001 - January 24, 2002
UNITED SECURITIES ALLIANCE, INC.
October 27, 1999 - August 10, 2001
AMERITAS INVESTMENT COMPANY, LLC
November 25, 1996 - October 26, 1999
PRINCIPAL SECURITIES, INC.
November 12, 1993 - December 18, 1995
J & L INVESTMENT SERVICES, INC.
April 19, 1988 - December 31, 1991
CENTURY INVESTORS OF AMERICA, INC.
Primary Firm SEC Registration
PARK AVENUE SECURITIES LLC
CRD#: 46173 / SEC#: 801-58108, 8-51324
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PARK AVENUE SECURITIES LLC
CRD#: 46173 / SEC#: 801-58108, 8-51324
Contact information
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.
