Ralph C. Depinto
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.
Ralph Christopher Depinto, who also goes by Ralph Depinto, was a registered financial professional .
Ralph is a previously registered financial professional and started their career in finance in 1989. Ralph had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 62, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 13, 2014 - September 3, 2015
PARK AVENUE SECURITIES LLC
June 21, 2010 - March 11, 2013
NYLIFE SECURITIES LLC
March 26, 2007 - January 24, 2008
PARK AVENUE SECURITIES LLC
December 21, 2005 - December 13, 2006
METROPOLITAN LIFE INSURANCE COMPANY
December 21, 2005 - December 13, 2006
MSI FINANCIAL SERVICES, INC.
January 21, 2004 - June 10, 2005
MONY SECURITIES CORPORATION
May 25, 2000 - June 10, 2005
MONY SECURITIES CORPORATION
August 31, 1998 - May 23, 2000
NYLIFE SECURITIES LLC
July 18, 1991 - November 6, 1991
PATAGON.COM SECURITIES CORP.
August 24, 1990 - September 11, 1997
EQUITABLE ADVISORS, LLC
August 14, 1990 - September 11, 1997
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
January 3, 1989 - May 31, 1990
ROBERT TODD FINANCIAL CORP.
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
Series 62
Date: 12/28/1988
Corporate Securities Limited Representative ExaminationCurrent 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.
