Tony S. Wong
PARK AVENUE SECURITIES LLC
Flushing, NY 11354
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CRD#: 2684319
Professional summary
Tony Shek Yin Wong, CFP®, who also goes by Shek Yin Wong, Tony Wong, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Flushing, New York.
Tony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Tony has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Shek Yin Wong | Tony Wong
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) Brooklyn Apartment Rental: I own this residential property. I've been renting to my long term tenant for years. My wife manage it.
Start Date: 10/01/2008
Address: 325 Marine Ave Apt A1 Brooklyn, NY 11209
1 hours per month will be spend on this Outside Business Activity
0 hours per month during normal securities trading hours
Investment related
2) Board member of YMCA in Chinatown: Board Member
Start Date: 01/01/2021
Address: 237 Bowery New York, NY 10002
4 hours per month will bou spend on this Outside Business Activity
0 hours per month during normal securities trading hours
Not Investment Related
3) Vacation home rental: Short term rental of my vacation home
Start Date: 01/01/2011
Address: 1413 pine cone rd. Pocono Pines, PA 18350
1 hours per month will be spend on this Outside Business Activity
1 hours per month during normal securities trading hours
Investment related,
4) Residential rental : I rent out my apartment to my tenant.
Start Date: 07/15/2020
Address: 60 West 13th st apt 4C New York, NY 10011
1 hours per month will be spend on this Outside Business Activity
1 hours per month during normal securities trading hours
Investment related,
5) Health Insurance Agent, Insurance outside of Guardian,
Start: 01/31/2024,
Address: home based,
20 total business hours per month, 10 during securities trading hours,
Greater than 10% annual compensation,
Investment related,
6) Ash Brokerage-Insurance other than Guardian,
Start: 7/1/2025,
Address: 136-20 38th�Ave., Suite# 8J, Flushing, NY 11354,
20 total hours per month; 20 during securities trading hours,
Investment related,
>10% Annual Compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Tony Shek Yin Wong's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Tony Shek Yin Wong'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: 2007
Experience
Current
June 3, 2021 - Present
PARK AVENUE SECURITIES LLC
Office #1: 136-20 38th Avenue Unit 8j, Flushing, NY 11354RIA
BD
CRD#: 46173
Flushing, NY
Current
May 27, 2021 - Present
PARK AVENUE SECURITIES LLC
Office #1: 136-20 38th Avenue Unit 8j, Flushing, NY 11354RIA
BD
CRD#: 46173
Flushing, NY
Past
March 25, 2017 - May 24, 2021
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
NEW YORK, NY
Past
September 3, 2015 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
NEW YORK, NY
Past
July 13, 2006 - August 4, 2015
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
NEW YORK, NY
Past
March 27, 2006 - August 4, 2015
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
NEW YORK, NY
Past
September 27, 2001 - February 10, 2006
TD AMERITRADE, INC.
BD
CRD#: 7870
OMAHA, NE
Past
December 17, 1998 - October 9, 2001
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
December 5, 1995 - August 31, 1998
FIRST ASSET MANAGEMENT, INC.
BD
CRD#: 17341
GARDEN CITY, 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(1/18/2023)
RR
New Jersey(6/24/2021)
IAR
New Jersey(6/25/2021)
RR
New York(5/27/2021)
IAR
New York(6/3/2021)
RR
Pennsylvania(5/1/2024)
IAR
Pennsylvania(5/1/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
