ER
Eileen M. Rice
PARK AVENUE SECURITIES LLC
IRVINE, CA 92606
Some features on this profile are disabled
CRD#: 3062498
ER
Professional summary
Eileen M Rice, who also goes by Eileen Marie Rice, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Irvine, California.
Eileen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Eileen has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Eileen Marie Rice
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. Insurance Sales-I sell insurance (life, disability income, long term care, and annuities) with various insurance carriers., Start: 05/01/1998, Address: 2855 Michelle Drive, Suite 320 Irvine, CA 92606, 5 bus hrs per month, Investment related, 2. Named successor trustee for parent's estate. Start: 11/24/2021, Address: NA, 0 total hours per month 0 during securities trading hours, Not Investment related, No annual compensation, 3. Named successor agent for my spouse on his power of attorney for financial affairs. Start: 08/11/2021, Address: NA, 0 total hours per month 0 during securities trading hours, Not Investment related, No annual compensation, 4. Living Balance Sheet Faculty Member - teach aspects of the Living Balance Sheet software as well as provide instruction on the philosophy around the approach. Start: 01/01/2023, Address: Pacific Advisors, 2855 Michelle Drive, Ste. 320, Irvine, CA 92606, 5 total hours per month, 5 during securities trading hours, Investment related, Less than 10% of annual compensation
CRS (Client Relationship Summary) - RIA
Click below to view Eileen M Rice's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Eileen M Rice'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
June 1, 2012 - Present
PARK AVENUE SECURITIES LLC
Office #1: 2875 Michelle Drive Suite 110, Irvine, CA 92606RIA
BD
CRD#: 46173
IRVINE, CA
Current
May 1, 2012 - Present
PARK AVENUE SECURITIES LLC
Office #1: 2875 Michelle Drive Suite 110, Irvine, CA 92606RIA
BD
CRD#: 46173
IRVINE, CA
Past
February 20, 2004 - April 25, 2012
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
NEWPORT BEACH, CA
Past
February 19, 2004 - April 25, 2012
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
NEWPORT BEACH, CA
Past
August 28, 2001 - February 2, 2004
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
October 16, 1998 - February 2, 2004
OSAIC FA, INC.
RIA
CRD#: 3978
IRVINE, CA
Past
September 29, 1998 - February 2, 2004
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
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(7/5/2019)
RR
California(5/1/2012)
IAR
California(6/1/2012)
RR
Colorado(2/23/2017)
IAR
Colorado(2/27/2017)
RR
Delaware(3/3/2014)
IAR
Delaware(3/7/2014)
RR
Florida(7/18/2024)
IAR
Florida(7/19/2024)
RR
Georgia(8/16/2024)
IAR
Georgia(8/20/2024)
RR
Idaho(8/9/2021)
RR
Iowa(8/29/2025)
IAR
Iowa(9/3/2025)
RR
Maryland(5/22/2014)
IAR
Maryland(6/26/2024)
RR
Massachusetts(5/20/2022)
IAR
Massachusetts(5/25/2022)
RR
New Mexico(2/9/2024)
IAR
New Mexico(2/9/2024)
RR
New York(8/1/2023)
IAR
New York(8/1/2023)
RR
North Carolina(8/16/2024)
IAR
North Carolina(8/16/2024)
RR
Pennsylvania(7/7/2023)
IAR
Pennsylvania(7/7/2023)
RR
Texas(11/5/2021)
IAR
Texas(9/1/2022)
RR
Washington(4/18/2019)
IAR
Washington(6/12/2020)
RR
Wyoming(2/23/2017)
IAR
Wyoming(7/25/2017)
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.
