Harvey E. Lazarus
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Harvey Edward Lazarus, who also goes by Harvey E Lazarus, was a registered financial professional .
Harvey is a previously registered financial professional and started their career in finance in 1991. Harvey had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 15, 2020 - October 28, 2020
PARK AVENUE SECURITIES LLC
June 29, 2017 - June 17, 2020
HORNOR, TOWNSEND & KENT, LLC
December 19, 2016 - June 17, 2020
HORNOR, TOWNSEND & KENT, LLC
January 2, 2015 - December 15, 2016
MSI FINANCIAL SERVICES, INC.
March 2, 2010 - January 3, 2017
MARINER
September 29, 2004 - January 2, 2015
NEW ENGLAND SECURITIES
December 12, 2003 - September 22, 2004
OSAIC FA, INC.
November 25, 2003 - September 22, 2004
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
November 25, 2003 - September 22, 2004
OSAIC FA, INC.
June 30, 2001 - November 24, 2003
VERAVEST INVESTMENT ADVISORS, INC.
March 2, 2001 - November 24, 2003
VERAVEST INVESTMENTS, INC.
January 27, 1995 - February 15, 2001
EQUITY SERVICES, INC.
September 11, 1992 - January 31, 1995
G. R. PHELPS & CO., INC.
October 25, 1991 - August 3, 1992
CARILLON INVESTMENTS, INC.
Primary Firm SEC Registration
PARK AVENUE SECURITIES LLC
CRD#: 46173 / SEC#: 801-58108, 8-51324
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PARK AVENUE SECURITIES LLC
CRD#: 46173 / SEC#: 801-58108, 8-51324
Contact information
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.
