Maynard L. Miller
Professional summary
Maynard L Miller Jr, CFP®, who also goes by Larry Miller, Maynard Lawrence Miller Jr, Maynard Lawrence Miller, Maynard L Miller, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Richmond, Texas.
Maynard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Maynard has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 26, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Maynard L Miller Jr's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Maynard L Miller Jr's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 23, 2020 - Present
PARK AVENUE SECURITIES LLC
October 23, 2020 - Present
PARK AVENUE SECURITIES LLC
Office #1: 10 Hudson Yards, New York, NY 10001August 12, 2018 - August 25, 2020
HORACE MANN INVESTORS, INC.
August 10, 2018 - August 25, 2020
HORACE MANN INVESTORS, INC.
July 27, 2010 - August 7, 2018
MML INVESTORS SERVICES, LLC
May 24, 2010 - August 7, 2018
MML INVESTORS SERVICES, LLC
January 6, 2010 - February 8, 2010
PEAK AMERICAN INVESTMENT ADVISORS, INC.
January 4, 2010 - February 8, 2010
PURITAN BROKERAGE SERVICES, INC.
July 8, 2009 - October 30, 2009
FIRST LEGACY SECURITIES, LLC
January 4, 2008 - May 22, 2009
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
December 20, 2007 - May 22, 2009
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
November 28, 2006 - October 31, 2007
STRATEGIC ADVISERS LLC
February 1, 1994 - October 31, 2007
FIDELITY BROKERAGE SERVICES LLC
June 17, 1993 - December 15, 1993
WADDELL & REED
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
(10/23/2020)
(10/26/2020)
(10/23/2020)
(10/23/2020)
Exams
FINRA
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.
