NL
Nicholas Liapunov
PARK AVENUE SECURITIES LLC
Ridgefield, CT 06877
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CRD#: 2285566
NL
Professional summary
Nicholas Liapunov, who also goes by Nick Liapunov, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Ridgefield, Connecticut.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Nicholas has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nick Liapunov
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. ENTOURAGE SPORTS MANAGEMENT, INC. SPORTS ENDORSEMENT AGENT. -I am looking to help a few PGA/LPGA players and maybe other atheletes get started on their careers via endorsements, Start: 08/01/2013, Address: 64 Fountain Road, Briancliff, NY 10510, 5 bus hrs per month, Not investment related, 2. Other Insurance Carrier Business -,Health insurance and Life insurance sales from various carriers., Start: 01/01/1995, Address: 800 Westchester Ave Suite N409 Rye Brook, NY 10573, 6 bus hrs per month, Investment related, 3. Nick and Erika P&C LLC -Property and Casualty LLC , Start: 09/01/2019, Address: 800 Westchester Ave Suite N409 Rye Brook, NY 10573, 3 bus hrs per month, Investment related, 4) 4438 65th Street LLC -rental real estate property, Start: 11/01/2023, Address: 4438 65th Street Queens, NY 11377, 1 total hour per month; 1 during securities trading hours, Investment related, Less then 10% annual compensation, 5) 82 Lawson Lane LLC- partner with my two sons for rental real estate property, Start: 10/25/2023, Address: 82 Lawson Lane Ridgefield, Ct 06877, 1 Keeler Close Ridgefield, CT 06877, 2 total hour per month; 1 during securities trading hours, Investment related, Less then 10% annual compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Liapunov's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Nicholas Liapunov'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
April 16, 2021 - Present
PARK AVENUE SECURITIES LLC
Office #1: 32 Ridgebury Road, Ridgefield, CT 06877Office #2: 800 Westchester Avenue 4th Floor Suite N409, Rye Brook, NY 10573Office #3: 437 Madison Avenue 29th Floor, New York, NY 10022RIA
BD
CRD#: 46173
Ridgefield, CT
Current
September 7, 1999 - Present
PARK AVENUE SECURITIES LLC
Office #1: 800 Westchester Avenue 4th Floor Suite N409, Rye Brook, NY 10573Office #2: 437 Madison Avenue 29th Floor, New York, NY 10022RIA
BD
CRD#: 46173
Rye Brook, NY
Past
February 19, 1997 - December 19, 1997
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
October 20, 1992 - October 16, 1995
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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(3/29/2019)
RR
Colorado(10/7/2011)
RR
Connecticut(2/14/2000)
RR
Delaware(11/7/2024)
RR
Florida(2/18/2010)
RR
Louisiana(10/11/2021)
RR
Nevada(10/11/2018)
RR
New Jersey(7/17/2002)
RR
New York(10/6/1999)
IAR
New York(4/16/2021)
RR
North Carolina(9/13/2021)
RR
Pennsylvania(11/1/2024)
RR
South Carolina(10/8/2018)
RR
Texas(10/12/2016)
RR
Vermont(3/23/2021)
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.
Company Information
PARK AVENUE SECURITIES LLC
CRD#: 46173Ridgefield, CT 06877TRUST BUT VERIFY
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