Kathryn N. Reichert
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.
Kathryn Nilsson Reichert, who also goes by Kathryn Hayes, Kathryn Gayle Nilsson, Kathryn Ni Nilsson, Kathryn Nilsson, was a registered financial professional .
Kathryn is a previously registered financial professional and started their career in finance in 1998. Kathryn had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 3 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 2, 2014 - July 9, 2015
PARK AVENUE SECURITIES LLC
April 28, 2008 - December 20, 2013
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
April 11, 2008 - April 22, 2008
TEACHERS PERSONAL INVESTORS SERVICES, INC.
April 11, 2008 - December 20, 2013
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
June 9, 2006 - June 29, 2007
CITIGROUP GLOBAL MARKETS INC.
November 19, 2004 - May 16, 2006
CITICORP INVESTMENT SERVICES
July 8, 2004 - May 16, 2006
CITICORP INVESTMENT SERVICES
July 26, 2002 - March 31, 2003
CIBC WORLD MARKETS CORP.
January 8, 2001 - May 24, 2002
CIBC WORLD MARKETS CORP.
March 31, 2000 - January 18, 2001
J.P. MORGAN SECURITIES LLC
May 27, 1999 - March 31, 2000
CITIGROUP GLOBAL MARKETS INC.
February 19, 1999 - March 5, 1999
PASSPORT SECURITIES, INC.
October 1, 1998 - September 25, 2000
THE ADVISORS GROUP, INC.
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.
