DL
Daniel J. Leslie
PARK AVENUE SECURITIES LLC
Independence, OH 44131
Some features on this profile are disabled
CRD#: 2755696
DL
Professional summary
Daniel James Leslie, who also goes by Dan Leslie, Daniel J Leslie, Dan J Leslie, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Independence, Ohio.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Daniel has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 10, Series 9 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dan Leslie | Daniel J Leslie | Dan J Leslie
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. Commissions from insurance companies not affiliated with Guardian- Agent,
Start: 04/19/1996,
Address: 4150 Belden Village Street NW, Suite 301 Canton, OH 44718,
2 bus hrs per month,
Investment related,
2. Leslie and Associates,
Start: 01/01/2007,
Address: N/A,
0 total hrs per month; 0 during securitites trading hours,
Not investment related,
No annual compensation,
3. Real Estate in Ohio- Owner,
Start: 01/01/1997,
Address: 2514c Raber Rd
1 non bus hr per month,
Investment related,
4. Rhino insurance group P&C - 100% owner,
Start: 04/16/2019,
Address: 7100 Pleasant valley Independence Ohio 44131,
3 total hours per month; 3 during securities trading hours,
Investment related,
Less than 10% Annual Compensation,
5. Leslie Financial group Ltd-entity is used for business revenue and expense reporting,
Start: 01/01/2007,
Address: 260 Wakefield Run Blvd Hinckley Oh 44233,
0 total hours per month,
Not investment related,
No annual compensation,
6. Daniel J Leslie and Co LLC-Not active and not used with public but wish to retain for future use,
Start: 01/01/2007,
Address: 260 Wakefield Run Blvd Hinckley Oh 44233,
0 total hours per month,
Not investment related,
No annual compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Daniel James Leslie's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Daniel James Leslie'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
October 4, 2018 - Present
PARK AVENUE SECURITIES LLC
Office #1: 7100 East Pleasant Valley Road Suite 350, Independence, OH 44131RIA
BD
CRD#: 46173
Independence, OH
Current
October 4, 2018 - Present
PARK AVENUE SECURITIES LLC
Office #1: 7100 East Pleasant Valley Road Suite 350, Independence, OH 44131RIA
BD
CRD#: 46173
Independence, OH
Past
February 27, 2006 - July 23, 2018
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
Milwaukee, WI
Past
October 8, 1996 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
October 8, 1996 - July 23, 2018
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
Milwaukee, WI
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
California(10/14/2019)
IAR
California(10/14/2019)
RR
North Carolina(2/14/2022)
RR
Ohio(10/4/2018)
IAR
Ohio(10/4/2018)
RR
Pennsylvania(8/9/2019)
RR
Washington(3/19/2020)
RR
Wisconsin(10/4/2018)
IAR
Wisconsin(10/4/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
