DK
David L. Keller
PARK AVENUE SECURITIES LLC
Greenwood Village, CO 80111
Some features on this profile are disabled
CRD#: 266510
DK
Professional summary
David L Keller, who also goes by David Leon Keller, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Greenwood Village, Colorado.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1970. David has worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David Leon Keller
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. Other insurance products,
Start: 05/10/2012,
Address: 6455 So. Yosemite Suite 300, Greenwood Village, CO 80111,
2 total hours/month; 2 during securities trading,
Investment related,
Less than 10% Annual compensation,
2. Steel-Velvet Inv. Inc/Real estate broker,
Start: 05/15/1985,
Address: 5232 S. Holland Str; Littleton, CO 80123,
2 total hours/month; 2 during security trading hours,
Investment related,
Less than 10% Annual Compensation,
3. Colorado Uplift Board of Directors,
Start: 05/15/2015,
Address: 400 West 48th Suite 250 Denver, CO 80216,
1-2 total hours/month, 1-2 hours during securities trading,
Not investment related,
No Annual Compensation,
CRS (Client Relationship Summary) - RIA
Click below to view David L Keller's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David L Keller'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 19, 2001 - Present
PARK AVENUE SECURITIES LLC
Office #1: 6455 South Yosemite Street Suite 425, Greenwood Village, CO 80111RIA
BD
CRD#: 46173
Greenwood Village, CO
Current
May 3, 1999 - Present
PARK AVENUE SECURITIES LLC
Office #1: 6455 South Yosemite Street Suite 425, Greenwood Village, CO 80111RIA
BD
CRD#: 46173
Greenwood Village, CO
Past
May 28, 2008 - June 5, 2008
D.H. HILL SECURITIES, LLLP
BD
CRD#: 41528
KINGWOOD, TX
Past
May 28, 1991 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
May 5, 1988 - May 24, 1991
ALLABASHI & COMPANY, LTD.
BD
CRD#: 10532
Past
September 17, 1987 - May 26, 1988
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
Past
June 8, 1983 - August 27, 1987
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
Past
December 10, 1980 - April 13, 1982
CONSOLIDATED INVESTMENT SERVICES, INC.
BD
CRD#: 7929
Past
January 14, 1977 - August 13, 1979
PROVIDENT MARKETING CORPORATION
BD
CRD#: 7328
Past
December 12, 1975 - January 14, 1977
PROVIDENT NATIONAL EQUITIES, INC.
BD
CRD#: 40
Past
August 27, 1973 - January 14, 1977
PLA SECURITIES CORPORATION
BD
CRD#: 666
Past
February 9, 1970 - January 12, 1981
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
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
Arizona(6/25/1999)
IAR
Arizona(4/3/2007)
RR
Colorado(5/3/1999)
IAR
Colorado(1/19/2001)
RR
Florida(2/3/2020)
RR
Georgia(2/6/2020)
IAR
Georgia(2/11/2020)
RR
Kentucky(11/10/2011)
RR
Maryland(2/3/2020)
IAR
Maryland(2/3/2020)
RR
Michigan(3/4/2020)
RR
Montana(10/5/2021)
RR
New Mexico(2/3/2020)
RR
Tennessee(5/19/2025)
RR
Texas(5/3/1999)
IAR
Texas(3/18/2003)
RR
Wyoming(5/3/1999)
IAR
Wyoming(7/25/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 1/27/1970
Registered Representative ExaminationSRO 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.
