Susan S. Neun
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.
Susan Shermen Neun was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1996. Susan had worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 7, 2020 - July 23, 2020
PARK AVENUE SECURITIES LLC
March 6, 2020 - July 23, 2020
PARK AVENUE SECURITIES LLC
October 20, 2016 - December 23, 2019
PRUCO SECURITIES, LLC.
October 10, 2016 - December 23, 2019
PRUCO SECURITIES, LLC.
January 1, 2008 - September 14, 2016
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - September 14, 2016
WELLS FARGO CLEARING SERVICES, LLC
December 16, 2005 - January 1, 2008
A. G. EDWARDS & SONS, INC.
December 16, 2005 - January 3, 2008
A. G. EDWARDS & SONS, INC.
August 12, 2005 - December 16, 2005
STIFEL, NICOLAUS & COMPANY, INCORPORATED
August 12, 2005 - December 16, 2005
STIFEL, NICOLAUS & COMPANY, INCORPORATED
November 1, 2002 - August 29, 2005
MORGAN STANLEY DW INC.
September 8, 1998 - August 29, 2005
MORGAN STANLEY DW INC.
June 4, 1998 - September 22, 1998
D.E. FREY & COMPANY, INC.
May 20, 1998 - June 12, 1998
USF SECURITIES, L.P.
September 3, 1997 - April 22, 1998
MORGAN KEEGAN & COMPANY, LLC
March 4, 1997 - May 30, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 10, 1996 - February 7, 1997
EDWARD JONES
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
Current 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.
