AB
Alan M. Bacharach
PARK AVENUE SECURITIES LLC
PORTLAND, OR 97239
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CRD#: 3072969
AB
Professional summary
Alan Martin Bacharach, ChFC®, who also goes by Alan M Bacharach, Alon Bacharach, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Portland, Oregon.
Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Alan 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
Alan M Bacharach | Alon Bacharach
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. Board Member Israel21c-Volunteering for mostly community committees,
Start: 01/01/2016,
44 Montgomery St, Suite 4150 San Francisco, CA 94104,
1 bus hr per month,
Not investment related,
2. Providing insurance products-Providing group/individual medical, dental, vision, disability, life benefits to clients through various insurers not affiliated with Guardian.,
Start: 04/04/1998,
Address: 3518 S. Corbett Ave, Portland, OR 97239,
Hrs per month - Tot/Bus: 20/10,
Investment related,
>10% annual compensation,
3. Bacharach Construction LLC-My son, Ariel Bacharach, formed A Bacharach LLC.He's asked me to act, if needed, as agent for this organization. At present, he and his wife are the only members of the LLC. He's a licensed contractor,
Start: 06/06/2014,
Address: 1250 Dry Creek, Mosier, OR 97040,
1 hr per month,
Not investment related
4. Rotary club member-Participate in Rotary events and activities mostly social and charitable,
Start: 03/01/2017,
Address: POB 2521 Portland, OR 97208,
4 non bus hrs per month,
Not investment related,
5. Trailer rental-Camper/trailer primarily to be parked on my rural property. I might want to occasionally rent it out for short time periods.,
Start: 10/20/2018,
Address: 1250 Dry Creek Mosier, OR 97040,
2 non bus hrs per month,
Investment related,
6) Board Member, Pearl Fund of the Portland Pearl Rotary,
Start: 07/15/2025,
Address: 721 NW 9th, Portland, OR 97209,
1 total hour per month; 1 during securities trading hours,
Not investment related,
No annual compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Alan Martin Bacharach's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Alan Martin Bacharach'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®
Experience
Current
July 27, 2012 - Present
PARK AVENUE SECURITIES LLC
Office #1: 3518 S Corbett Avenue 2nd Floor, Portland, OR 97239Office #2: 200 Sw Market St Suite 1850, Portland, OR 97201RIA
BD
CRD#: 46173
PORTLAND, OR
Current
May 3, 1999 - Present
PARK AVENUE SECURITIES LLC
Office #1: 3518 S Corbett Avenue 2nd Floor, Portland, OR 97239Office #2: 200 Sw Market St Suite 1850, Portland, OR 97201RIA
BD
CRD#: 46173
PORTLAND, OR
Past
October 27, 1998 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
August 3, 1998 - October 27, 1998
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
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(7/20/2018)
IAR
Arizona(7/24/2018)
RR
California(9/21/2018)
IAR
California(2/4/2022)
RR
Florida(1/28/2021)
RR
Louisiana(8/24/2022)
IAR
Louisiana(8/24/2022)
RR
Maine(9/19/2025)
RR
Massachusetts(8/5/2022)
IAR
Massachusetts(8/8/2022)
RR
Montana(9/15/2021)
IAR
Montana(9/13/2024)
RR
Oregon(5/3/1999)
IAR
Oregon(7/27/2012)
RR
Washington(7/13/2007)
IAR
Washington(7/5/2019)
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.
