PB
Paul E. Bestehorn
PARK AVENUE SECURITIES LLC
Highpoint, NC
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CRD#: 2897592
PB
Professional summary
Paul E Bestehorn, who also goes by Paul Eric Bestehorn, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Highpoint, North Carolina.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Paul has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Paul Eric Bestehorn
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. Director of Sales for Qualified Plan Administrators
I am the sales representative for a third party administration firm
Start: 01/01/2012
Address: 3707 B Weest Market St.
Greensboro, NC 27403
Hrs per month - Tot/Bus: 80/40
Investment related
>10% annual compensation
CRS (Client Relationship Summary) - RIA
Click below to view Paul E Bestehorn's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Paul E Bestehorn'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
March 9, 2017 - Present
PARK AVENUE SECURITIES LLC
Office #2: 3707 West Market Stree Suite C, Greensboro, NC 27403RIA
BD
CRD#: 46173
Highpoint, NC
Current
March 9, 2017 - Present
PARK AVENUE SECURITIES LLC
Office #1: 3707 West Market Stree Suite C, Greensboro, NC 27403RIA
BD
CRD#: 46173
Greensboro, NC
Past
January 25, 2013 - December 31, 2016
L.M. KOHN & COMPANY
RIA
CRD#: 27913
GREENSBORO, NC
Past
January 25, 2013 - December 31, 2016
L.M. KOHN & COMPANY
BD
CRD#: 27913
GREENSBORO, NC
Past
March 1, 2007 - September 24, 2012
OSAIC WEALTH, INC.
RIA
CRD#: 23131
RALEIGH, NC
Past
March 1, 2007 - September 24, 2012
OSAIC WEALTH, INC.
BD
CRD#: 23131
RALEIGH, NC
Past
February 9, 2007 - March 1, 2007
UNITED SECURITIES ALLIANCE, INC.
RIA
CRD#: 36487
RALEIGH, NC
Past
June 1, 2004 - March 1, 2007
UNITED SECURITIES ALLIANCE, INC.
BD
CRD#: 36487
RALEIGH, NC
Past
March 11, 2003 - March 12, 2004
TODD SECURITIES, LLC
BD
CRD#: 116150
GREENSBORO, NC
Past
June 18, 2001 - March 10, 2003
CLARK SECURITIES, INC.
BD
CRD#: 43803
GREENSBORO, NC
Past
January 2, 2001 - June 11, 2001
CLARK-BARDES SECURITIES, INC.
BD
CRD#: 29094
DALLAS, TX
Past
February 1, 1999 - December 18, 2000
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
June 25, 1997 - December 30, 1998
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
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
New York(1/8/2025)
RR
North Carolina(3/9/2017)
IAR
North Carolina(3/9/2017)
Exams
State Security Law Exam
State Security Law 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.
