DB
Deborah S. Becker
PARK AVENUE SECURITIES LLC
Tarrytown, NY 10591
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CRD#: 2074497
DB
Professional summary
Deborah S Becker, who also goes by Deborah Swinford Becker, Deborah Becker, Deborah Jane Swinford, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Tarrytown, New York.
Deborah is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Deborah has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Deborah Swinford Becker | Deborah Becker | Deborah Jane Swinford
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) Volunteer for nonprofit 501c4 corporation, Start Date: 11/2/2016, Address: 500 Fulton Court, West New York, NY 07093, 2 total hours per month; 0 during securities trading hours, Not Investment Related, No Annual Compensation, 2) Volunteer for nonprofit 501c3 corporation, Start Date: 9/10/2012, Address: 500 Fulton Court, West New York, NY 07093, 5 total hours per month; 0 during securities trading hours, Not Investment Related, No Annual Compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Deborah S Becker's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Deborah S Becker'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
February 26, 2019 - Present
PARK AVENUE SECURITIES LLC
Office #1: 580 White Plains Rd Suite 205, Tarrytown, NY 10591RIA
BD
CRD#: 46173
Tarrytown, NY
Current
February 12, 2018 - Present
PARK AVENUE SECURITIES LLC
Office #1: 580 White Plains Rd Suite 205, Tarrytown, NY 10591RIA
BD
CRD#: 46173
Tarrytown, NY
Past
April 6, 2017 - January 18, 2018
NYLIFE SECURITIES LLC
BD
CRD#: 5167
WHITE PLAINS, NY
Past
February 24, 1994 - July 22, 2003
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
BD
CRD#: 15356
NEW YORK, NY
Past
October 1, 1990 - January 22, 1996
GEM ADVISORS, INC.
BD
CRD#: 20624
NEW YORK, NY
Past
October 1, 1990 - March 18, 1996
INTEGRITY LIFE INSURANCE COMPANY
BD
CRD#: 16781
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(8/5/2022)
IAR
California(9/22/2023)
RR
Florida(1/27/2023)
RR
Massachusetts(1/10/2022)
RR
New York(2/12/2018)
IAR
New York(8/8/2022)
RR
Virginia(12/9/2022)
Exams
State Security Law 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.
