DW
David H. Weinberg
PARK AVENUE SECURITIES LLC
CRANSTON, RI 02920
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CRD#: 2801555
DW
Professional summary
David H Weinberg, who also goes by Dave Weinberg, David Howard Weinberg, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Cranston, Rhode Island.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. David has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dave Weinberg | David Howard Weinberg
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. UpHill Productions, LLC, Start Date: 10/02/2017, Address: 84 Enfield Street, Pawtucket , RI 02861, 4 total hours per month; 0 during normal securities trading hours, Not Investment Related, less Than 10% Annual Compensation, 2. Insurance Other Than Guardian, Start Date: 1/1/2024, Address: 2000 Chapel View Blvd., Ste. 215, Cranston, RI 02920, 2 total hours per month; 2 during normal securities trading hours, Investment Related, Less Than 10% Annual Compensation, 3. POA/Trustee for Wife, Start Date: 6/1/2024, Address: 84 Enfield Street, Pawtucket, RI 02861, 1 total hours per month; 1 during normal securities trading hours, Not Investment Related, No Annual Compensation,
CRS (Client Relationship Summary) - RIA
Click below to view David H Weinberg's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David H Weinberg'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
November 6, 2024 - Present
PARK AVENUE SECURITIES LLC
Office #1: 2000 Chapel View Blvd Suite 215, Cranston, RI 02920RIA
BD
CRD#: 46173
CRANSTON, RI
Current
October 29, 2024 - Present
PARK AVENUE SECURITIES LLC
Office #1: 2000 Chapel View Blvd Suite 215, Cranston, RI 02920RIA
BD
CRD#: 46173
CRANSTON, RI
Past
September 1, 2023 - October 31, 2024
OSAIC WEALTH, INC.
RIA
CRD#: 23131
CRANSTON, RI
Past
September 1, 2023 - October 31, 2024
OSAIC WEALTH, INC.
BD
CRD#: 23131
CRANSTON, RI
Past
August 2, 2022 - September 1, 2023
OSAIC SERVICES, INC.
RIA
CRD#: 133763
CRANSTON, RI
Past
August 2, 2022 - September 1, 2023
OSAIC SERVICES, INC.
BD
CRD#: 133763
CRANSTON, RI
Past
July 9, 2021 - August 19, 2022
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
Braintree, MA
Past
July 6, 2021 - August 19, 2022
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
Braintree, MA
Past
October 4, 2016 - July 7, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
PROVIDENCE, RI
Past
October 4, 2016 - July 7, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
PROVIDENCE, RI
Past
June 12, 2008 - October 19, 2016
OSAIC FA, INC.
RIA
CRD#: 3978
CRANSTON, RI
Past
June 12, 2008 - October 19, 2016
OSAIC FA, INC.
BD
CRD#: 3978
CRANSTON, RI
Past
February 7, 2005 - June 16, 2008
NEW ENGLAND SECURITIES
RIA
CRD#: 615
EAST PROVIDENCE, RI
Past
December 2, 2003 - June 16, 2008
NEW ENGLAND SECURITIES
BD
CRD#: 615
EAST PROVIDENCE, RI
Past
March 27, 2002 - December 19, 2003
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
WORCESTER, MA
Past
October 16, 1996 - March 21, 2002
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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
Arizona(11/8/2024)
IAR
Arizona(1/22/2025)
RR
Colorado(12/4/2024)
IAR
Colorado(2/12/2025)
RR
Connecticut(10/30/2024)
IAR
Connecticut(1/3/2025)
RR
Florida(10/30/2024)
IAR
Florida(11/6/2024)
RR
Georgia(10/31/2024)
IAR
Georgia(1/7/2025)
RR
Maine(11/4/2024)
IAR
Maine(1/6/2025)
RR
Maryland(11/7/2024)
IAR
Maryland(1/6/2025)
RR
Massachusetts(11/12/2024)
IAR
Massachusetts(11/13/2024)
RR
Minnesota(6/9/2025)
IAR
Minnesota(6/9/2025)
RR
New Hampshire(1/17/2025)
IAR
New Hampshire(2/7/2025)
RR
New York(11/24/2024)
RR
Pennsylvania(2/24/2025)
IAR
Pennsylvania(2/24/2025)
RR
Rhode Island(11/4/2024)
IAR
Rhode Island(11/6/2024)
RR
South Carolina(11/5/2024)
IAR
South Carolina(1/8/2025)
RR
Virginia(11/4/2024)
IAR
Virginia(1/2/2025)
Exams
State Security Law Exam
State Security Law Exam
General 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.
Company Information
PARK AVENUE SECURITIES LLC
CRD#: 46173Cranston, RI 02920TRUST BUT VERIFY
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