NP
Nathan A. Pierce
PARK AVENUE SECURITIES LLC
LOVELAND, CO 80537
Some features on this profile are disabled
CRD#: 2941953
NP
Professional summary
Nathan A Pierce, who also goes by Nathan Andrew Pierce, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Loveland, Colorado.
Nathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Nathan has worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nathan Andrew Pierce
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. PIERCE INSURANCE & FINANCIAL - President,-Selling Insurance Products other than Guardian,
Start: 01/01/2004,
Address: 315 W Oak St., 7th Floor Fort Collins CO 80521,
Hrs per month - Tot/Bus: 40/10,
Investment Related,
> 10% Annual Compensation,
2. POA for Immediate Family-POA for wife & wife's parents,
Start: 02/01/2000,
Address: 3991 Stoneham Dr; Loveland CO 80538,
0 hrs per month,
Not investment related,
3. Emerald Glen 6th Owners Sub Association-Board Member,
Start: 11/01/2021,
Address: 3991 Stoneham Dr. Loveland CO 80538,
1 total hour per month; 0 during securities trading hours,,
Not investment related,
No annual compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Nathan A Pierce's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Nathan A Pierce'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
September 17, 2014 - Present
PARK AVENUE SECURITIES LLC
Office #1: 525 N. Denver Ave, Loveland, CO 80537Office #3: 315 W Oak Street Suite 700, Fort Collins, CO 80521RIA
BD
CRD#: 46173
LOVELAND, CO
Current
September 25, 2012 - Present
PARK AVENUE SECURITIES LLC
Office #1: 315 W Oak Street Suite 700, Fort Collins, CO 80521RIA
BD
CRD#: 46173
Fort Collins, CO
Past
March 14, 2012 - September 21, 2012
FORESTERS EQUITY SERVICES, INC.
BD
CRD#: 18464
SAN DIEGO, CA
Past
July 10, 2001 - March 1, 2012
FARMERS FINANCIAL SOLUTIONS, LLC
BD
CRD#: 103863
LOVELAND, CO
Past
September 22, 1997 - June 1, 2001
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
Alabama(11/28/2023)
IAR
Alabama(11/29/2023)
IAR
Arizona(10/23/2017)
RR
Arizona(4/20/2018)
RR
Arkansas(1/6/2023)
IAR
Arkansas(1/10/2023)
RR
California(5/11/2020)
IAR
California(5/12/2020)
RR
Colorado(9/25/2012)
IAR
Colorado(9/17/2014)
RR
Florida(10/28/2015)
IAR
Florida(11/2/2015)
RR
Georgia(10/15/2024)
IAR
Georgia(10/16/2024)
RR
Idaho(7/15/2022)
IAR
Idaho(7/15/2022)
RR
Maryland(3/21/2024)
IAR
Maryland(3/26/2024)
RR
Michigan(7/5/2019)
RR
Missouri(10/8/2018)
IAR
Missouri(11/18/2020)
RR
Montana(8/22/2019)
IAR
Montana(9/3/2020)
RR
Nebraska(8/6/2018)
IAR
Nebraska(8/8/2018)
RR
New Hampshire(4/4/2019)
RR
New Mexico(4/23/2018)
IAR
New Mexico(4/24/2018)
RR
North Carolina(4/23/2018)
IAR
North Carolina(4/25/2018)
RR
North Dakota(4/18/2023)
IAR
North Dakota(4/24/2023)
RR
Oklahoma(11/28/2023)
IAR
Oklahoma(11/30/2023)
RR
Oregon(7/17/2019)
IAR
Oregon(7/30/2019)
RR
Pennsylvania(10/5/2018)
IAR
Pennsylvania(1/16/2024)
RR
South Carolina(4/23/2018)
IAR
South Carolina(4/24/2018)
RR
South Dakota(10/18/2021)
IAR
South Dakota(10/19/2021)
RR
Texas(9/15/2021)
IAR
Texas(9/16/2021)
RR
Utah(1/13/2020)
RR
Vermont(7/5/2022)
IAR
Vermont(7/5/2022)
RR
Wisconsin(10/8/2024)
IAR
Wisconsin(10/8/2024)
RR
Wyoming(2/15/2019)
IAR
Wyoming(4/15/2019)
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.
