Francis V. Rizzo
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.
Francis Vincent Rizzo, who also goes by Francis Rizzo, was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1993. Francis had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 51, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 2016 - September 6, 2018
PARK AVENUE SECURITIES LLC
October 5, 2016 - September 6, 2018
PARK AVENUE SECURITIES LLC
July 24, 2014 - October 7, 2016
EAGLE STRATEGIES LLC
June 19, 2014 - October 7, 2016
NYLIFE SECURITIES LLC
February 24, 2014 - June 11, 2014
PURSHE KAPLAN STERLING INVESTMENTS
January 9, 2014 - June 9, 2014
SEACREST WEALTH MANAGEMENT, LLC
April 2, 2012 - January 9, 2014
VOYA INVESTMENT MANAGEMENT CO. LLC
April 2, 2012 - January 9, 2014
VOYA INVESTMENTS DISTRIBUTOR, LLC
January 16, 2009 - February 28, 2012
UBS FINANCIAL SERVICES INC.
January 16, 2009 - February 28, 2012
UBS FINANCIAL SERVICES INC.
July 14, 2006 - January 20, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 14, 2006 - January 20, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 30, 2002 - May 25, 2006
MORGAN STANLEY DW INC.
November 5, 1993 - May 25, 2006
MORGAN STANLEY DW INC.
May 27, 1993 - November 1, 1993
MORGAN STANLEY DW 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.
