ST
Steven J. Travaglini
PARK AVENUE SECURITIES LLC
NASHUA, NH 03062
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CRD#: 2886916
ST
Professional summary
Steven J Travaglini SR., who also goes by Steven James Travaglini Sr, Steven Travaglini, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Nashua, New Hampshire.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Steven has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steven James Travaglini Sr | Steven Travaglini
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. Insurance Services other than Guardian-Sell Non Guardian Insurance products when appropriate, Start: 07/01/1998, Address: 76 Northeastern Blvd, unit 31A Nashua NH 03062, 5 bus hrs per month, Investment related, >10% annual compensation, 2) EPIC Wealth Strategies, LLC-Manages the property for the Landlord, Divalini Realty, LLC DBA under which I perform as a Guardian Life Insurance Company Field Representative., Start: 05/01/2018, Address: 76 Northeastern Blvd Unit 31A Nashua NH 03064, 1 total business hour per month, 1 during securities trading hours, Investment related, 3) Trust Related Services-POA for spouse, Start: 09/16/2016, Address: 76 Northeastern Blvd, unit 31A Nashua NH 03062, 1 total hour per month 1 during securities trading hours, Not investment related, No annual compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Steven J Travaglini SR.'s CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Steven J Travaglini SR.'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
February 22, 2001 - Present
PARK AVENUE SECURITIES LLC
Office #1: Northbridge Business Center 76 Northeastern Blvd 31a, Nashua, NH 03062RIA
BD
CRD#: 46173
NASHUA, NH
Current
May 3, 1999 - Present
PARK AVENUE SECURITIES LLC
Office #1: Northbridge Business Center 76 Northeastern Blvd 31a, Nashua, NH 03062RIA
BD
CRD#: 46173
NASHUA, NH
Past
July 11, 1997 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
May 8, 1997 - June 25, 1997
OSAIC FS, INC.
BD
CRD#: 3870
FORT WAYNE, IN
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
Florida(4/18/2011)
IAR
Florida(5/2/2018)
RR
Maine(2/16/2012)
IAR
Maine(7/10/2024)
RR
Massachusetts(5/3/1999)
IAR
Massachusetts(2/22/2001)
RR
Minnesota(8/2/2023)
IAR
Minnesota(8/3/2023)
RR
New Hampshire(5/3/1999)
IAR
New Hampshire(3/5/2001)
RR
New York(11/8/2018)
IAR
New York(4/16/2021)
RR
Oregon(12/8/2020)
IAR
Oregon(12/8/2020)
RR
Virginia(11/5/2018)
IAR
Virginia(7/24/2023)
Exams
State Security Law Exam
State Security Law Exam
General 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.
