SM
Steven M. Mense
PARK AVENUE SECURITIES LLC
PORT JEFFERSON, NY
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CRD#: 2526091
SM
Professional summary
Steven Michael Mense, who also goes by Steve Michael Mense, Steven M Mense, Steven Mense, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Port Jefferson, New York.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Steven has worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steve Michael Mense | Steven M Mense | Steven Mense
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.
NAME: JUDAS ENTERPRISES INV REL: Y ADD: AT RESIDENTIAL ADDRESS NATURE: REALTOR/REAL ESTATE POSITION: OWNER START DATE: 12/2020 NO HRS/MO: 20 NO HRS/MO TRAD TIME: 5
CRS (Client Relationship Summary) - RIA
Click below to view Steven Michael Mense's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Steven Michael Mense'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
February 28, 2023 - Present
PARK AVENUE SECURITIES LLC
Office #2: 200 Broadhollow Road Suite 405, Melville, NY 11747RIA
BD
CRD#: 46173
PORT JEFFERSON, NY
Current
February 15, 2023 - Present
PARK AVENUE SECURITIES LLC
Office #1: 200 Broadhollow Road Suite 405, Melville, NY 11747RIA
BD
CRD#: 46173
Melville, NY
Past
June 14, 2021 - December 20, 2022
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
MELVILLE, NY
Past
May 3, 2013 - December 20, 2022
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
MELVILLE, NY
Past
August 14, 2009 - April 16, 2013
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
STONY BROOK, NY
Past
June 9, 2000 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
MELVILLE, NY
Past
June 9, 2000 - August 5, 2009
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
MELVILLE, NY
Past
July 25, 1997 - May 3, 2000
MERIT CAPITAL ASSOCIATES, INC.
BD
CRD#: 30576
WESTPORT, CT
Past
March 19, 1996 - July 22, 1997
JOSEPHTHAL & CO., INC.
BD
CRD#: 3227
NEW YORK, NY
Past
September 13, 1995 - April 8, 1996
INVESTORS ASSOCIATES, INC.
BD
CRD#: 958
HACKENSACK, NJ
Past
March 20, 1995 - May 24, 1995
AMERICORP SECURITIES, INC.
BD
CRD#: 30405
NEW YORK, NY
Past
January 3, 1995 - March 21, 1995
H G I
BD
CRD#: 14079
JERICHO, NY
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
Florida(8/26/2025)
RR
New York(2/16/2023)
IAR
New York(2/28/2023)
Exams
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.
