Larry E. Mott
PARK AVENUE SECURITIES LLC
Houston, TX 77056
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CRD#: 2066225
Professional summary
Larry E Mott, CFP®, who also goes by Larry Edward Mott, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Houston, Texas.
Larry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Larry has worked at 5 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Larry Edward Mott
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. Larry Mott (Ins other than Guardian)
Provide Fixed Life, Annuity, Health products and P&C to clients when a Guardian product is not suitable.
Start: 08/15/2016
Address: 5515 Kipling Glen Court
Sugar Land Texas 77479
4 bus hrs per month
Investment related
2. J & L Mott Signs
DBA set up to collect rent from my mother's Estate. The property once clears probate will be Apartment Rental, Commercial Building Rental and some yearly payouts from my family's old business "Mott Signs"
Start: 07/06/2017
Address: 218 Grandview Ave
Valparaiso FL 32580
Hrs per month - tot/bus: 8/6
Investment related
3. CPE Instructor
Provide CPE Educational Seminars for Professionals (CPAs,etc.) for their Continuation Education Credits.
Start: 11/01/2017
Address: 15958 City Walk
Suite 290; Sugar Land, TX 77479
1 bus hr per month
Not investment related
CRS (Client Relationship Summary) - RIA
Click below to view Larry E Mott's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Larry E Mott'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®
CFP®
Start date: 2020
Experience
Current
October 13, 2014 - Present
PARK AVENUE SECURITIES LLC
Office #1: 3040 Post Oak Blvd Suite 1150, Houston, TX 77056RIA
BD
CRD#: 46173
Houston, TX
Current
September 18, 2014 - Present
PARK AVENUE SECURITIES LLC
Office #1: 3040 Post Oak Blvd Suite 1150, Houston, TX 77056RIA
BD
CRD#: 46173
Houston, TX
Past
April 12, 2013 - August 1, 2014
OSAIC SERVICES, INC.
BD
CRD#: 133763
HOUSTON, TX
Past
November 16, 2010 - April 26, 2013
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
MISSOURI CITY, TX
Past
November 15, 2010 - April 26, 2013
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
MISSOURI CITY, TX
Past
November 1, 2007 - November 30, 2010
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
HOUSTON, TX
Past
October 1, 1990 - August 28, 2007
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
HOUSTON, TX
Past
September 26, 1990 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
PENSACOLA, FL
Past
September 26, 1990 - November 30, 2010
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
HOUSTON, TX
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
Arizona(3/1/2023)
IAR
Arizona(3/21/2023)
RR
California(12/2/2014)
IAR
California(2/13/2017)
RR
Colorado(6/30/2023)
IAR
Colorado(7/5/2023)
RR
Florida(9/18/2014)
IAR
Florida(2/27/2018)
RR
Georgia(4/1/2021)
IAR
Georgia(4/6/2021)
RR
Illinois(2/2/2017)
IAR
Illinois(2/3/2017)
RR
Indiana(5/8/2024)
IAR
Indiana(5/8/2024)
RR
Iowa(1/11/2023)
IAR
Iowa(1/12/2023)
RR
Kansas(9/14/2020)
IAR
Kansas(9/17/2020)
RR
Kentucky(12/15/2022)
IAR
Kentucky(12/19/2022)
RR
Louisiana(11/11/2020)
IAR
Louisiana(11/16/2020)
RR
Massachusetts(4/23/2021)
IAR
Massachusetts(4/29/2021)
RR
Michigan(1/26/2022)
IAR
Michigan(1/28/2022)
RR
Minnesota(4/27/2023)
IAR
Minnesota(4/28/2023)
RR
Missouri(2/24/2021)
IAR
Missouri(2/24/2021)
RR
Montana(6/17/2020)
IAR
Montana(6/17/2020)
RR
Nevada(5/26/2023)
IAR
Nevada(5/31/2023)
RR
New Jersey(3/25/2022)
IAR
New Jersey(3/25/2022)
RR
New York(4/19/2021)
IAR
New York(5/1/2021)
RR
North Carolina(8/21/2020)
IAR
North Carolina(8/21/2020)
RR
Ohio(5/26/2023)
IAR
Ohio(5/26/2023)
RR
Oklahoma(6/10/2021)
IAR
Oklahoma(6/10/2021)
RR
Oregon(5/23/2022)
IAR
Oregon(5/24/2022)
RR
Pennsylvania(5/29/2021)
IAR
Pennsylvania(6/1/2021)
RR
South Carolina(10/25/2024)
IAR
South Carolina(10/29/2024)
RR
Tennessee(9/17/2021)
RR
Texas(9/18/2014)
IAR
Texas(10/13/2014)
RR
Utah(6/25/2020)
IAR
Utah(6/25/2020)
RR
Vermont(10/23/2023)
IAR
Vermont(10/23/2023)
RR
Virginia(7/12/2024)
IAR
Virginia(7/16/2024)
RR
Washington(9/29/2022)
IAR
Washington(10/21/2022)
RR
Wisconsin(11/27/2020)
IAR
Wisconsin(11/30/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
