SK
Samuel D. Katz
PARK AVENUE SECURITIES LLC
Scarsdale, NY 10583
Some features on this profile are disabled
CRD#: 2458089
SK
Professional summary
Samuel D Katz, CFP®, who also goes by Samuel Dov Katz, Samuel Katz, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Scarsdale, New York.
Samuel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Samuel has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Samuel Dov Katz | Samuel Katz
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. Samuel Katz, CPA, CFP-Tax and/or accounting for individuals, businesses, partnerships & trusts, Start: 02/01/1993, Address: 111 Brook Street 3rd Floor; Scarsdale, NY 10583, 100 total business hours per month, 30 during securities trading hours, Not investment related, >10% annual compensation, 2. Insurance brokering-Independent contractor for carriers other than Guardian, Start: 05/09/2018, Address: 122 East 42nd Street NY, NY 10168, 10 bus hrs per month, Investment related, >10% annual compensation, 3. Trustee for brothers Life Insurance Trust, Start: 01/01/2024, Address: 111 Brook Street, Scarsdale NY 10583, 2 total business hours per month, 2 during securities trading hours, No annual compensation, Not investment related
CRS (Client Relationship Summary) - RIA
Click below to view Samuel D Katz's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Samuel D Katz'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®
CFP®
Start date: 2012
Experience
Current
August 21, 2018 - Present
PARK AVENUE SECURITIES LLC
Office #1: 111 Brook Street Floor 3, Scarsdale, NY 10583RIA
BD
CRD#: 46173
Scarsdale, NY
Current
May 10, 2018 - Present
PARK AVENUE SECURITIES LLC
Office #1: 111 Brook Street Floor 3, Scarsdale, NY 10583RIA
BD
CRD#: 46173
Scarsdale, NY
Past
May 8, 2017 - March 6, 2018
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
NEW YORK, NY
Past
July 18, 2013 - March 6, 2018
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
NEW YORK, NY
Past
May 24, 2013 - July 5, 2013
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
TARRYTOWN, NY
Past
June 25, 2003 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
SCARSDALE, NY
Past
June 25, 2003 - April 24, 2013
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SCARSDALE, NY
Past
December 13, 1994 - June 25, 2003
TRUSTED SECURITIES ADVISORS CORP.
BD
CRD#: 24049
NEW YORK, NY
Past
March 23, 1994 - November 16, 1994
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
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(9/3/2020)
IAR
California(9/3/2020)
RR
Connecticut(2/25/2019)
IAR
Connecticut(6/7/2022)
IAR
Maryland(11/18/2021)
RR
Maryland(11/19/2021)
RR
New Hampshire(7/10/2018)
RR
New Jersey(1/21/2022)
IAR
New Jersey(1/21/2022)
RR
New York(5/11/2018)
IAR
New York(4/16/2021)
RR
Pennsylvania(6/27/2019)
RR
Rhode Island(9/19/2021)
IAR
Rhode Island(9/19/2021)
RR
Vermont(7/10/2018)
IAR
Vermont(8/21/2018)
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
