BP
Brian S. Palkowitsh
PARK AVENUE SECURITIES LLC
OAKLAND PARK, FL
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CRD#: 2702781
BP
Professional summary
Brian S Palkowitsh, who also goes by Brian Scott Palkowitsh, Brian Palkowitsh, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Oakland Park, Florida.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Brian has worked at 5 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brian Scott Palkowitsh | Brian Palkowitsh
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: NP Companies, Inc, Start date: 03/29/2022 Address: 300 E. Oakland Park Blvd, Ste 121 Oakland Park, FL. 33334 2 total hours per month 0 during securities trading hours Not Investment related 75 -100% annual compensation Name: Urban Village at 5th Ave Start Date: 03/15/2024 Address: 265 S Federal Highway, Ste 330 Deerfield Beach, FL. 33441 6 total hours per month 1 during securities trading hours Not investment related Name: Real Estate Ownership Start Date: 10/01/2022 Address: 2660 NE 8th Ave, #204 Wilton Manors, FL. 33334 1 total hour per month 0 during securities trading hours Not investment related 75 -100% annual compensation Name: Mineral Income Start date: 03/13/2019 Address: Haskell County, Ks 0 total hours per month 0 during securities trading hours Not investment related 75-100% annual compensation Name: Commercial Real Estate Start date: 12/01/2022 Address: 201 and 205 E. Oklahoma Ave, Ulysses, Ks. 67880 0 total hours per month 0 during securities trading hours Yes investment related 75 -100% annual compensation Name: Rotary International Start Date: 07/01/2024 Address: 4780 NE 4th Ave Oakland Park, FL 33334 20 total hours per month 1 during securities trading hours Not investment related Name: Insurance Products other than Guardian Start Date: 03/01/1995 Address: 4780 NE 4th Ave Oakland Park, FL. 33334 2 total hours per month 0 during securities trading hours Yes investment related 75 -100% annual compensation Name: Carol Palkowitsh (POA), Start Date: 07/01/2017, Address: 3312 Eagle St Garden City, Ks. 67846, 0 total hours per month 0 during securities trading hours, Not investment related, Name: Michael Norfleet (POA), Start Date: 03/01/2022, Address: 4780 NE 4th Ave Oakland Park, FL. 33334, 0 total hours per month 0 during securities trading hours, Not investment related, Name: Sharon Glaze (POA), Start date: 06/01/2019, Address: 3312 Eagle St Garden City, Ks. 67846, 0 total hours per month 0 during securities trading hours, Not investment related, Name: WKC 401K Trust, Start Date: 05/01/2004, Address: 405 NE 35th Ct, #2 Oakland Park, FL. 33334 and 4751 NE 4th Ave., Oakland Park , FL 33334, 0 total hours per month 0 during securities trading hours, investment related, Less than 10% annual compensation, Name: Rotary Club of Ft Lauderdale/Cypress Creek, Board Member/Treasurer, Start Date: 2/1/2025, Address: 1875 NW Corporate Blvd, Ste 100, Boca Raton, FL 33431, 2 hours/mo; 0 hours during trading, Not investment related,
CRS (Client Relationship Summary) - RIA
Click below to view Brian S Palkowitsh's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brian S Palkowitsh'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
December 12, 2024 - Present
PARK AVENUE SECURITIES LLC
Office #2: 4000 Hollywood Blvd 310 N, Hollywood, FL 33021RIA
BD
CRD#: 46173
OAKLAND PARK, FL
Current
August 15, 2024 - Present
PARK AVENUE SECURITIES LLC
Office #1: 4000 Hollywood Blvd 310 N, Hollywood, FL 33021RIA
BD
CRD#: 46173
Hollywood, FL
Past
May 22, 2024 - August 7, 2024
PFS INVESTMENTS INC.
BD
CRD#: 10111
FORT LAUDERDALE, FL
Past
February 21, 2014 - March 25, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
ULYSSES, KS
Past
February 21, 2014 - March 25, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
ULYSSES, KS
Past
September 4, 2009 - February 28, 2014
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
SYRACUSE, KS
Past
September 4, 2009 - February 28, 2014
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
SYRACUSE, KS
Past
January 21, 1998 - September 4, 2009
TRANSAMERICA FINANCIAL ADVISORS, INC.
RIA
CRD#: 3600
ULYSSES, KS
Past
February 9, 1996 - September 4, 2009
TRANSAMERICA FINANCIAL ADVISORS, INC.
BD
CRD#: 3600
ULYSSES, KS
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
Colorado(10/17/2024)
IAR
Colorado(1/28/2025)
RR
Florida(8/16/2024)
IAR
Florida(12/12/2024)
RR
Kansas(1/13/2025)
IAR
Kansas(1/13/2025)
RR
Ohio(3/17/2025)
IAR
Ohio(3/17/2025)
RR
Texas(4/15/2025)
IAR
Texas(4/15/2025)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/15/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 10/15/2022
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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)
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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.
