MK
Mark L. Kaufman
PARK AVENUE SECURITIES LLC
Milford, CT
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CRD#: 2057965
MK
Professional summary
Mark Lewis Kaufman is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Milford, Connecticut.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Mark has worked at 14 firms and has passed the Series 63, Series 65, Series 66, Series 7TO, SIE, Series 87, Series 7 and Series 16 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) Curtain Transportation, Special Needs Student Transportation, Start date 1/22/24, Address: 400 Long Beach Boulevard, Stratford, Ct. 06615, 55 total hours per month; 25 during securities trading hours, Not Investment Related, Less than 10% annual compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Mark Lewis Kaufman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark Lewis Kaufman'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
March 12, 2024 - Present
PARK AVENUE SECURITIES LLC
Office #2: 197 Scott Swamp Rd., Farmington, CT 06032RIA
BD
CRD#: 46173
Milford, CT
Current
April 19, 2024 - Present
PARK AVENUE SECURITIES LLC
Office #1: 197 Scott Swamp Rd., Farmington, CT 06032RIA
BD
CRD#: 46173
Farmington, CT
Past
March 8, 2023 - December 11, 2023
SENTINEL ASSET MANAGEMENT, LLC
RIA
CRD#: 302082
WALLINGFORD, CT
Past
June 23, 2017 - December 17, 2018
SAMUEL A. RAMIREZ & COMPANY, INC.
BD
CRD#: 6963
NEW YORK, NY
Past
April 22, 2015 - June 16, 2017
LPS CAPITAL LLC
BD
CRD#: 155246
Orange, CT
Past
February 18, 2015 - April 20, 2015
BONWICK CAPITAL PARTNERS, LLC
BD
CRD#: 156469
NEW YORK, NY
Past
December 12, 2013 - September 12, 2014
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
SHELTON, CT
Past
January 9, 2013 - September 12, 2014
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
SHELTON, CT
Past
April 27, 2009 - January 12, 2012
RAFFERTY CAPITAL MARKETS, LLC
BD
CRD#: 23682
ROWAYTON, CT
Past
January 8, 2009 - April 22, 2009
SOURCE CAPITAL GROUP, INC.
BD
CRD#: 36719
WESTPORT, CT
Past
January 3, 2007 - September 2, 2009
MLK INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 142461
MILFORD, CT
Past
May 6, 2005 - August 12, 2005
FM PARTNERS HOLDINGS LLC
BD
CRD#: 134736
NEW YORK, NY
Past
March 10, 2003 - May 10, 2005
LAZARD FRERES & CO. LLC
BD
CRD#: 2528
NEW YORK, NY
Past
November 20, 2000 - March 14, 2003
RBC CAPITAL MARKETS CORPORATION
BD
CRD#: 6579
NEW YORK, NY
Past
June 9, 1999 - November 30, 2000
SAZES SECURITIES LLC
BD
CRD#: 35957
NEW YORK, NY
Past
January 7, 1991 - July 28, 1992
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
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
California(4/25/2025)
IAR
Connecticut(3/12/2024)
RR
Connecticut(5/16/2024)
RR
Texas(5/28/2025)
IAR
Texas(5/28/2025)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/19/2024
General Securities Representative ExaminationGeneral Industry/Product 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.
