KR
Keith W. Reynolds
PARK AVENUE SECURITIES LLC
New York, NY 10001
Some features on this profile are disabled
CRD#: 2154103
KR
Professional summary
Keith William Reynolds is a registered financial professional currently at PARK AVENUE SECURITIES LLC located in New York, New York.
Keith is registered as a RR (Registered Representative) and started their career in finance in 1992. Keith has worked at 8 firms and has passed the Series 63, Series 52TO, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Keith William Reynolds'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 7, 2007 - Present
PARK AVENUE SECURITIES LLC
Office #1: 10 Hudson Yards, New York, NY 10001RIA
BD
CRD#: 46173
New York, NY
Past
March 24, 2005 - November 13, 2007
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
BD
CRD#: 18487
HOLBROOK, NY
Past
October 23, 2003 - August 10, 2004
FIRST EMPIRE SECURITIES, INC.
BD
CRD#: 15129
HAUPPAUGE, NY
Past
March 3, 2003 - June 2, 2003
FIS BROKERAGE & SECURITIES SERVICES LLC
BD
CRD#: 104162
BOLINGBROOK, IL
Past
December 13, 2002 - March 3, 2003
RUMSON CAPITAL, LLC
BD
CRD#: 33848
MONTEBELLO, NY
Past
September 8, 1997 - February 26, 2002
COWEN AND COMPANY
BD
CRD#: 7616
NEW YORK, NY
Past
November 3, 1994 - November 3, 1997
SOCGEN-CROSBY SECURITIES INC.
BD
CRD#: 30442
Past
September 1, 1992 - April 13, 1993
CANTOR FITZGERALD SECURITIES
BD
CRD#: 19660
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.
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
Alabama(1/24/2022)
RR
Alaska(1/24/2022)
RR
Arizona(1/24/2022)
RR
Arkansas(1/24/2022)
RR
California(1/24/2022)
RR
Colorado(1/24/2022)
RR
Connecticut(1/24/2022)
RR
Delaware(1/24/2022)
RR
District of Columbia(1/24/2022)
RR
Florida(1/24/2022)
RR
Georgia(1/24/2022)
RR
Hawaii(1/24/2022)
RR
Idaho(1/24/2022)
RR
Illinois(1/24/2022)
RR
Indiana(1/24/2022)
RR
Iowa(1/24/2022)
RR
Kansas(1/24/2022)
RR
Kentucky(1/24/2022)
RR
Louisiana(1/24/2022)
RR
Maine(1/24/2022)
RR
Maryland(1/24/2022)
RR
Massachusetts(1/24/2022)
RR
Michigan(1/24/2022)
RR
Minnesota(1/24/2022)
RR
Mississippi(1/24/2022)
RR
Missouri(1/24/2022)
RR
Montana(1/24/2022)
RR
Nebraska(1/24/2022)
RR
Nevada(1/24/2022)
RR
New Hampshire(1/24/2022)
RR
New Jersey(3/20/2008)
RR
New Mexico(1/24/2022)
RR
New York(12/7/2007)
RR
North Carolina(1/24/2022)
RR
North Dakota(1/24/2022)
RR
Ohio(1/25/2022)
RR
Oklahoma(1/24/2022)
RR
Oregon(1/24/2022)
RR
Pennsylvania(1/24/2022)
RR
Puerto Rico(1/24/2022)
RR
Rhode Island(1/24/2022)
RR
South Carolina(1/24/2022)
RR
South Dakota(1/24/2022)
RR
Tennessee(1/17/2023)
RR
Texas(1/24/2022)
RR
Utah(1/24/2022)
RR
Vermont(1/24/2022)
RR
Virgin Islands(1/24/2022)
RR
Virginia(1/24/2022)
RR
Washington(1/24/2022)
RR
West Virginia(1/24/2022)
RR
Wisconsin(1/24/2022)
RR
Wyoming(1/24/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 1/31/2006
Limited Representative-Equity Trader ExamGeneral 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.
