AG
Abe J. Garcia
PARK AVENUE SECURITIES LLC
New York, NY 10017
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CRD#: 2715351
AG
Professional summary
Abe James Garcia is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in New York, New York.
Abe is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Abe has worked at 10 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
QUALIFIED Employee Benefits, Inc. - Owner Operator of Independent Group Medical Insurance Agency, Start Date: 5/13/2004, Address: 244 5th Avenue, G257, NY, NY 10001, 10 total hours per month; 5 during securities trading hours, not investment related, 76-100% annual compensation.
CRS (Client Relationship Summary) - RIA
Click below to view Abe James Garcia's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Abe James Garcia'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 15, 2025 - Present
PARK AVENUE SECURITIES LLC
Office #1: 355 Lexington Ave 9th Floor, New York, NY 10017RIA
BD
CRD#: 46173
New York, NY
Current
January 2, 2025 - Present
PARK AVENUE SECURITIES LLC
Office #1: 355 Lexington Ave 9th Floor, New York, NY 10017RIA
BD
CRD#: 46173
New York, NY
Past
December 14, 2013 - May 4, 2015
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
NEW YORK, NY
Past
September 9, 2008 - July 26, 2012
MUTUAL OF AMERICA SECURITIES LLC
BD
CRD#: 27878
FOREST HILLS, NY
Past
September 9, 2008 - July 26, 2012
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
BD
CRD#: 15356
FOREST HILLS, NY
Past
March 30, 2005 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
ROSLYN, NY
Past
March 30, 2005 - September 8, 2008
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
ROSLYN, NY
Past
October 23, 2003 - January 5, 2005
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
CHICAGO, IL
Past
October 10, 2001 - October 9, 2003
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
Past
May 7, 1996 - April 18, 1997
STUART, COLEMAN & CO., INC.
BD
CRD#: 8642
NEW YORK, NY
Past
March 14, 1996 - April 26, 1996
CONTINENTAL BROKER-DEALER CORP.
BD
CRD#: 14048
CARLE PLACE, 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
New York(1/13/2025)
IAR
New York(1/15/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/28/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
