MO
Michael P. Oberholzer
PARK AVENUE SECURITIES LLC
Canton, OH 44718
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CRD#: 2933455
MO
Professional summary
Michael P Oberholzer, who also goes by Michael Patrick Oberholzer, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Canton, Ohio.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Michael has worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael Patrick Oberholzer
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. Receiving trail compensation from sale of previous business,
Start: 07/15/2019,
Address: 316 East Third Street Uhrichsville, OH 44683,
1 bus hr per month; 1 during securities trading hours,
Investment related,
Less than 10% annual compensation,
2. Tuscarawas Central Catholic HS Finance Committee,
Start: 01/03/2022,
Address: 777 3rd St. NE, New Philadelphia, OH 44663,
1 total hour per month; 1 during securities trading hours,
Not investment related,
No annual compensation,
3. Aperio Wealth & Protection Solutions LLC-unused DBA from previous firm,
Start: 10/01/2018,
Address: 316 E. Third St., Uhrichsville, OH 44683,
0 total hour per month,
Not investment related,
No annual compensation,
4. Ash Brokerage & firms that broker Athlete Disability Protection,
Start: 10/01/2025,
Address: 4700 Dressler Rd NW Canton, OH 44718,
1 total hour per month; 1 during securities trading hours,
Investment related,
>10% annual compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Michael P Oberholzer's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael P Oberholzer'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
July 18, 2019 - Present
PARK AVENUE SECURITIES LLC
Office #1: 4700 Dressler Rd Nw, Canton, OH 44718RIA
BD
CRD#: 46173
Canton, OH
Current
July 15, 2019 - Present
PARK AVENUE SECURITIES LLC
Office #1: 4700 Dressler Rd Nw, Canton, OH 44718RIA
BD
CRD#: 46173
Canton, OH
Past
February 6, 2019 - July 19, 2019
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Uhrichsville, OH
Past
December 17, 2018 - July 19, 2019
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Uhrichsville, OH
Past
March 8, 2017 - December 26, 2018
CFD INVESTMENTS, INC.
BD
CRD#: 25427
Uhrichsville, OH
Past
January 20, 2011 - December 31, 2016
BROOKLIGHT PLACE SECURITIES, INC.
BD
CRD#: 15764
UHRICHSVILLE, OH
Past
April 22, 2008 - December 31, 2010
CETERA ADVISORS LLC
BD
CRD#: 10299
UHRICHSVILLE, OH
Past
January 3, 2005 - February 8, 2008
WATERSTONE FINANCIAL GROUP, INC.
BD
CRD#: 10078
UHRICHSVILLE, OH
Past
September 8, 1997 - December 31, 2004
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
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
Colorado(5/21/2024)
RR
Florida(7/26/2021)
RR
New York(3/4/2020)
RR
North Carolina(12/23/2024)
RR
Ohio(7/15/2019)
IAR
Ohio(7/18/2019)
RR
West Virginia(11/10/2025)
Exams
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.
Company Information
PARK AVENUE SECURITIES LLC
CRD#: 46173Canton, OH 44718TRUST BUT VERIFY
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