MR
Marguerite C. Rangel
PARK AVENUE SECURITIES LLC
BEVERLY HILLS, CA 90211
Some features on this profile are disabled
CRD#: 2914905
MR
Professional summary
Marguerite Carlos Rangel, who also goes by Marguerite Rangel Miller, Marguerite Anne Carlos Rangel Miller, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Beverly Hills, California.
Marguerite is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Marguerite has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Marguerite Rangel Miller | Marguerite Anne Carlos Rangel Miller
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. Member, California State Bar-I am an active member of the California State Bar. I maintain continuing educational requirements, Start: 10/01/1979, Address: N/A, 0 hrs per month, Not investment related, 2. Member, U.S. Supreme Court Bar-I was admitted to the U.S. Supreme Court Bar on 11/16/2015. This means that I have the credentials to appear before the U.S. Supreme Court, use its law library in Washington DC, and be seated in the admitted attorneys section of the court should I want to hear a court session, Start: 11/16/2015, Address: 8383 Wilshire Boulevard, Suite 212 Beverly Hills CA 9021, Not investment related, 3. Marguerite Rangel(individual)-Late client held annuities & insurance policies with previous advisors & carriers. Family asked me to organize his papers and to process/notify the respective various institutions of my PAS client's death,. Start: 05/15/2019, Address: 8383 Wilshire Boulevard, Suite 212 Beverly Hills CA 90211, 5 non bus hrs per month, Not investment related, 4) Marguerite Rangel-General review of legal documents and general legal advice, Start: 09/01/2021, Address: 707 Wilshire Boulevard, 46th Floor Los Angeles CA 90017, 5-10 total hours per month 0 during securities trading hours, Not investment related, Less than 10% annual compensation, 5) Director, Board of Directors, Jonathan Club- Director for 501(c)(7) organization, Start: 06/01/2021, Address: 545 South Figueroa Street Los Angeles CA 90071, 10 total hours per month 3 during securities trading hours, Not investment related, No annual compensation, 6) Venezia Wealth Management and Insurance Services, DBA - Insurance other than Guardian, Start Date: 02/04/2019, Address: 8383 Wilshire Blvd. Ste #800 Beverly Hills, CA 90211, 10 total business hours per month / 10 during normal securities trading hours, Less than 10% annual compensation, Investment Related
CRS (Client Relationship Summary) - RIA
Click below to view Marguerite Carlos Rangel's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Marguerite Carlos Rangel'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 19, 2007 - Present
PARK AVENUE SECURITIES LLC
Office #1: 8383 Wilshire Blvd Suite 800, Beverly Hills, CA 90211RIA
BD
CRD#: 46173
BEVERLY HILLS, CA
Current
October 5, 2006 - Present
PARK AVENUE SECURITIES LLC
Office #1: 2875 Michelle Drive Suite 110, Irvine, CA 92606RIA
BD
CRD#: 46173
IRVINE, CA
Past
January 8, 1998 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
January 8, 1998 - September 25, 2006
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
LOS ANGELES, CA
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(10/5/2006)
IAR
Arizona(4/5/2007)
RR
California(10/5/2006)
IAR
California(3/19/2007)
RR
Colorado(3/9/2012)
IAR
Colorado(3/9/2012)
RR
Connecticut(5/10/2024)
IAR
Connecticut(5/10/2024)
RR
District of Columbia(8/16/2010)
IAR
District of Columbia(8/23/2010)
RR
Florida(8/5/2009)
IAR
Florida(8/11/2009)
RR
Georgia(11/23/2021)
RR
Hawaii(1/25/2022)
IAR
Hawaii(8/10/2022)
RR
Illinois(8/28/2014)
IAR
Illinois(3/5/2020)
RR
Kentucky(2/21/2013)
IAR
Kentucky(2/21/2013)
RR
Maine(3/22/2022)
IAR
Maine(3/22/2022)
RR
Maryland(9/15/2021)
IAR
Maryland(9/15/2021)
RR
Massachusetts(7/3/2019)
RR
Michigan(9/16/2013)
IAR
Michigan(9/17/2013)
RR
Mississippi(7/3/2019)
RR
Montana(6/24/2013)
IAR
Montana(6/25/2013)
RR
Nevada(10/5/2006)
IAR
Nevada(3/19/2007)
RR
New Jersey(9/11/2012)
IAR
New Jersey(9/11/2012)
RR
New Mexico(12/20/2018)
RR
New York(10/5/2006)
IAR
New York(4/16/2021)
IAR
North Carolina(1/2/2015)
RR
North Carolina(1/13/2015)
RR
Ohio(10/6/2006)
IAR
Ohio(3/20/2007)
RR
Oregon(10/23/2012)
IAR
Oregon(10/23/2012)
RR
Pennsylvania(8/16/2010)
IAR
Pennsylvania(4/5/2011)
RR
Rhode Island(10/7/2025)
RR
South Carolina(7/3/2019)
RR
Tennessee(2/23/2024)
RR
Texas(10/5/2006)
IAR
Texas(3/19/2007)
RR
Utah(8/1/2011)
IAR
Utah(8/2/2011)
RR
Virginia(5/18/2010)
IAR
Virginia(8/18/2010)
RR
Washington(12/7/2012)
IAR
Washington(12/7/2012)
RR
Wisconsin(8/4/2023)
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.
