SW
Sarah K. Welch
PARK AVENUE SECURITIES LLC
Litchfield, CT
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CRD#: 2407958
SW
Professional summary
Sarah K Welch, who also goes by Sarah Kimberly Welch, Kim Welch, Kimberly Welch, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Litchfield, Connecticut.
Sarah is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Sarah has worked at 6 firms and has passed the Series 65, Series 66, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sarah Kimberly Welch | Kim Welch | Kimberly Welch
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.
Peace and Plenty Partnership LLC-This is a family partnership established over 20 years ago to hold real estate in Vermont consisting of land and a residence. There are periodic timber sales and rental income paid to the partnership, Start: 01/16/2016, Address: 1699 Town Farm Road Ludlow VT 05149, 1 total business hour per month, 0 during securities trading hours, No annual compensation, Investment related,
CRS (Client Relationship Summary) - RIA
Click below to view Sarah K Welch's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sarah K Welch'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
January 15, 2016 - Present
PARK AVENUE SECURITIES LLC
RIA
BD
CRD#: 46173
Litchfield, CT
Current
January 15, 2016 - Present
PARK AVENUE SECURITIES LLC
RIA
BD
CRD#: 46173
Litchfield, CT
Past
September 15, 2011 - January 21, 2016
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
LITCHFIELD, CT
Past
May 17, 2011 - January 21, 2016
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
LITCHFIELD, CT
Past
December 10, 2007 - March 11, 2011
EQUITABLE DISTRIBUTORS, LLC
BD
CRD#: 25900
CHARLOTTE, NC
Past
July 25, 2006 - November 28, 2007
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
February 27, 2002 - July 27, 2006
MML DISTRIBUTORS, LLC
BD
CRD#: 38030
ENFIELD, CT
Past
April 4, 2001 - December 5, 2001
HIMCO DISTRIBUTION SERVICES COMPANY
BD
CRD#: 6604
HARTFORD, CT
Past
October 8, 1993 - June 2, 1994
HIMCO DISTRIBUTION SERVICES COMPANY
BD
CRD#: 6604
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(1/5/2024)
RR
Connecticut(1/15/2016)
IAR
Connecticut(1/15/2016)
RR
Florida(5/6/2025)
IAR
Florida(5/7/2025)
RR
Maine(1/15/2016)
IAR
Maine(1/15/2016)
RR
Oregon(2/18/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
