DM
David J. Monk
PARK AVENUE SECURITIES LLC
Wausau, WI 54401
Some features on this profile are disabled
CRD#: 2292213
DM
Professional summary
David J Monk, who also goes by Dave Monk, David John Monk, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Wausau, Wisconsin.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. David has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dave Monk | David John Monk
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. Officiating youth sports-I officiate youth and high school sporting events, Start: 11/01/2015, Address: 218 S 44th Ave, Wausau WI 54401, 6 non bus hrs per month, Not investment related, 2. Fixed outside insurance business-Place insurance and fixed annuity contracts for clients that are not offered through Guardian/PAS, Start: 03/01/2016, Address: 218 S 44th Ave, WAUSAU, WI 54401, 2 non bus hrs per month, Investment related, 3. Notary Public-Notarize documents for non-clients, Start: 11/01/2010, Address: 218 S 44th Ave, WI 54401, 1 non bus hr per month, Not investment related, 4. Marathon Ginseng-Ginseng farming and sales, 2% ownership, Start: 01/01/2018, Address: 4613 Camp Phillips Road, Weston, WI 54476, 4 non bus hrs per month, Not investment related, 5) Power of Attorney for my Wife, Start: 11/01/2003, Address: Wausau, WI, 0 total hours per month, Not investment related, No annual compensation, 6. Wausau Community Foundation-Board Member, Start: 01/26/2023, Address: 500 First Street, Suite 2600, Wausua, WI 54403, 1 total hour per month; 0 hours during Trading hours, Not investment related,
CRS (Client Relationship Summary) - RIA
Click below to view David J Monk's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David J Monk'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
October 31, 2018 - Present
PARK AVENUE SECURITIES LLC
Office #1: 226126 Hummingbird Road, Wausau, WI 54401RIA
BD
CRD#: 46173
Wausau, WI
Current
October 31, 2018 - Present
PARK AVENUE SECURITIES LLC
Office #1: 226126 Hummingbird Road, Wausau, WI 54401RIA
BD
CRD#: 46173
Wausau, WI
Past
March 25, 2017 - November 1, 2018
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
WAUSAU, WI
Past
March 25, 2017 - November 1, 2018
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
WAUSAU, WI
Past
July 17, 2009 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
WAUSAU, WI
Past
July 7, 2009 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
WAUSAU, WI
Past
September 13, 2002 - July 8, 2009
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
WAUSAU, WI
Past
September 13, 2002 - July 8, 2009
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
WAUSAU, WI
Past
July 24, 2000 - September 17, 2002
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
WAUSAU, WI
Past
January 4, 1993 - September 17, 2002
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
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
Alabama(4/18/2019)
RR
Arizona(4/23/2019)
IAR
Arizona(9/11/2024)
RR
California(10/31/2018)
IAR
California(10/31/2018)
RR
Colorado(10/31/2018)
IAR
Colorado(11/2/2018)
RR
Florida(10/31/2018)
IAR
Florida(11/1/2018)
RR
Georgia(4/23/2019)
RR
Illinois(7/23/2019)
RR
Indiana(4/22/2019)
RR
Iowa(9/20/2019)
RR
Massachusetts(4/22/2019)
RR
Michigan(10/31/2018)
IAR
Michigan(11/2/2018)
RR
Minnesota(11/2/2018)
IAR
Minnesota(11/5/2018)
RR
New Hampshire(4/22/2019)
RR
North Carolina(4/23/2019)
RR
North Dakota(10/31/2018)
IAR
North Dakota(11/5/2018)
RR
Ohio(4/18/2019)
IAR
Ohio(1/11/2021)
RR
Oklahoma(5/28/2024)
RR
South Carolina(5/17/2023)
RR
South Dakota(11/12/2020)
RR
Tennessee(7/8/2019)
RR
Texas(4/22/2019)
IAR
Texas(5/28/2019)
RR
Virginia(10/31/2018)
RR
Wisconsin(10/31/2018)
IAR
Wisconsin(10/31/2018)
Exams
State Security Law Exam
State Security Law 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#: 46173Wausau, WI 54401TRUST BUT VERIFY
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