MF
Matthew J. Flannery
PARK AVENUE SECURITIES LLC
Hoboken, NJ
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CRD#: 1999516
MF
Professional summary
Matthew James Flannery is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Hoboken, New Jersey.
Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Matthew has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 55, Series 7 and Series 24 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. Outside Insurance Business
I may have some clients that do not fit into the Guardian underwriting guidelines but I still want to be able to protect my clients.
Start: 03/24/2014
Address: Multiple locations
5 bus hrs per month
Investment related
CRS (Client Relationship Summary) - RIA
Click below to view Matthew James Flannery's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Matthew James Flannery'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
December 1, 2014 - Present
PARK AVENUE SECURITIES LLC
Office #2: 437 Madison Avenue 29th Floor, New York, NY 10022RIA
BD
CRD#: 46173
Hoboken, NJ
Current
February 4, 2014 - Present
PARK AVENUE SECURITIES LLC
Office #1: 437 Madison Avenue 29th Floor, New York, NY 10022RIA
BD
CRD#: 46173
New York, NY
Past
April 9, 2012 - January 23, 2014
G-2 TRADING,LLC
BD
CRD#: 44018
NEW YORK, NY
Past
October 8, 2008 - February 22, 2011
BNP PARIBAS PRIME BROKERAGE, INC.
BD
CRD#: 24962
NEW YORK, NY
Past
June 26, 2006 - February 22, 2011
BNP PARIBAS SECURITIES CORP.
BD
CRD#: 15794
NEW YORK, NY
Past
March 2, 1998 - June 28, 2006
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
July 12, 1994 - March 2, 1998
NATWEST SECURITIES CORPORATION
BD
CRD#: 18238
NEW YORK, NY
Past
February 25, 1993 - May 13, 1994
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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(5/18/2020)
IAR
California(5/19/2020)
RR
Connecticut(1/23/2023)
IAR
Connecticut(1/23/2023)
RR
Florida(12/23/2014)
IAR
Florida(7/26/2021)
RR
Georgia(6/1/2016)
IAR
Georgia(6/8/2016)
RR
Maryland(10/15/2020)
IAR
Maryland(10/15/2020)
RR
New Jersey(2/4/2014)
IAR
New Jersey(12/1/2014)
RR
New York(10/22/2014)
IAR
New York(4/16/2021)
IAR
North Carolina(1/2/2015)
RR
North Carolina(1/9/2015)
RR
Oregon(1/4/2024)
IAR
Oregon(1/5/2024)
RR
Pennsylvania(1/2/2015)
IAR
Pennsylvania(1/2/2015)
RR
Texas(11/15/2021)
IAR
Texas(11/15/2021)
RR
Virginia(9/21/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 4/25/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory 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.
