Dennis H. Kay
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.
Dennis H Kay, who also goes by Dennis Hal Kay, was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1969. Dennis had worked at 14 firms and has passed the Series 7TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2010 - June 16, 2025
PARK AVENUE SECURITIES LLC
December 17, 2008 - April 30, 2010
EQUITABLE ADVISORS, LLC
October 31, 2005 - December 2, 2008
OSAIC SERVICES, INC.
June 21, 2005 - December 2, 2008
BARD FINANCIAL SERVICES, INC.
February 23, 2005 - October 31, 2005
SUNAMERICA SECURITIES, INC.
May 3, 1999 - January 26, 2004
PARK AVENUE SECURITIES LLC
June 19, 1989 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
October 23, 1986 - July 24, 1989
SECURIAN FINANCIAL SERVICES, INC.
August 23, 1985 - September 16, 1985
MAIN STREET MANAGEMENT COMPANY
June 19, 1983 - September 16, 1985
AETNA LIFE INSURANCE AND ANNUITY COMPANY
April 11, 1980 - September 10, 1985
THE MINNESOTA MUTUAL LIFE INSURANCE COMPANY
October 28, 1976 - May 7, 1980
HOME LIFE INSURANCE COMPANY
January 2, 1976 - November 4, 1976
THE PAUL REVERE VARIABLE ANNUITY INSURANCE COMPANY
January 2, 1976 - November 4, 1976
PAUL REVERE EQUITY SALES COMPANY (THE)
February 18, 1969 - November 4, 1971
AMERICAN GLOBAL INVESTORS CORP.
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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 2/14/1969
Registered Representative ExaminationCurrent 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.
