AL
Amy S. Lampert
PARK AVENUE SECURITIES LLC
Needham, MA 02494
Some features on this profile are disabled
CRD#: 301248
AL
Professional summary
Amy S Lampert, who also goes by Amy Susan Blumenthal, Amy Susan Lampert, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Needham, Massachusetts.
Amy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1973. Amy has worked at 15 firms and has passed the Series 65, Series 63, Series 7TO, SIE, PC, Series 1, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Amy Susan Blumenthal | Amy Susan Lampert
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. FINRA Arbitrator-act as panelist hearing cases that are submitted to FINRA under the binding arbitration clauses for employees and clients of FINRA firms,
Start: 04/15/1996,
Address: N/A,
3 bus hrs per month,
Not investment related,
2. Organizational Consulting and Executive Coaching-consult to companies and their management on organizational change and behavior,
Start: 01/01/1997,
Address: 93 Risley Road Chestnut Hill, MA 02467,
Hrs per month - Tot/Bus: 5/3,
Not investment related,
3. The Lampert Group-inactive RIA that I have licensed with the Commonwealth of Mass,.
Start: 01/01/1997,
Address: 93 Risley Road Chestnut Hill, MA 02467,
0 hrs per month,
Not investment related,
4. Teaching at Brookline High School Community and Adult Education-give talks and courses at this Adult Education organization at the public high school,
Start: 10/01/2019,
Address: 115 Greenough Street Brookline, MA 02445,
1 non bus hr per month,
Not investment related,
5. Brookline Symphony Orchestra-Trustee
Start: 12/08/2022,
Address: Brookline, MA 02445,
2 total hours per month; 0 during security trading hours,
Not investment related,
No annual compensation,
5) Insurance other than Guardian-Independent contractor,
Nature of Business: Insurance,
Start date: 09/25/2025,
Address: 160 Gould Street Needham, MA,
Duties: Insurance other than Guardian
2 total hours per month; 2 during securities trading hours,
Investment related,
CRS (Client Relationship Summary) - RIA
Click below to view Amy S Lampert's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Amy S Lampert'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
April 25, 2011 - Present
PARK AVENUE SECURITIES LLC
Office #1: 160 Gould Street Suite 310, Needham, MA 02494RIA
BD
CRD#: 46173
Needham, MA
Current
April 21, 2011 - Present
PARK AVENUE SECURITIES LLC
Office #1: 160 Gould Street Suite 310, Needham, MA 02494RIA
BD
CRD#: 46173
Needham, MA
Past
December 24, 2008 - May 4, 2009
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
NEWTON, MA
Past
January 12, 2006 - December 24, 2008
SENTINEL PENSION ADVISORS, LLC.
RIA
CRD#: 109901
WAKEFIELD, MA
Past
March 28, 2005 - February 4, 2009
THE LAMPERT ADVISORY GROUP
RIA
CRD#: 130708
CHESTNUT HILL, MA
Past
February 27, 2003 - January 3, 2007
SENTINEL SECURITIES, LLC.
BD
CRD#: 110942
WAKEFIELD, MA
Past
January 9, 2001 - May 31, 2002
BNY MELLON SECURITIES CORPORATION
BD
CRD#: 231
NEW YORK, NY
Past
March 6, 2000 - January 16, 2001
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
April 4, 1997 - October 13, 1999
NATHAN & LEWIS SECURITIES, INC.
BD
CRD#: 8503
NEW YORK, NY
Past
July 25, 1984 - July 19, 1996
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
August 10, 1982 - July 26, 1984
DREXEL BURNHAM LAMBERT INCORPORATED
BD
CRD#: 7323
Past
April 20, 1982 - August 26, 1982
LEHMAN BROTHERS INC.
BD
CRD#: 7506
Past
January 27, 1981 - March 28, 1982
TUCKER ANTHONY INCORPORATED
BD
CRD#: 837
Past
January 26, 1979 - January 24, 1981
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
Past
September 26, 1978 - February 25, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
Past
October 25, 1973 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
BD
CRD#: 572
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(9/7/2021)
IAR
Arizona(9/16/2021)
RR
Connecticut(2/21/2012)
IAR
Connecticut(2/22/2012)
RR
Delaware(5/9/2022)
IAR
Delaware(5/17/2022)
RR
Florida(4/21/2011)
IAR
Florida(4/25/2011)
RR
Indiana(12/18/2018)
IAR
Indiana(12/19/2018)
RR
Maine(9/11/2017)
IAR
Maine(9/14/2017)
IAR
Massachusetts(3/19/2010)
RR
Massachusetts(4/21/2011)
RR
New Hampshire(2/4/2019)
IAR
New Hampshire(4/27/2020)
RR
New York(6/29/2011)
IAR
New York(4/16/2021)
RR
North Carolina(3/4/2021)
IAR
North Carolina(4/13/2023)
RR
Ohio(2/25/2020)
IAR
Ohio(2/25/2020)
RR
Pennsylvania(4/17/2018)
IAR
Pennsylvania(4/18/2018)
RR
Rhode Island(6/17/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
PC
Date: 9/8/1977
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 1
Date: 10/18/1973
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 5/12/1987
General Securities Sales Supervisor Examination (Options Module & General Module)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#: 46173Needham, MA 02494TRUST BUT VERIFY
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