KM
Kevin J. Manning
PARK AVENUE SECURITIES LLC
Rye Brook, NY 10573
Some features on this profile are disabled
CRD#: 3169223
KM
Professional summary
Kevin J Manning, who also goes by Kevin James Manning, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Rye Brook, New York.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Kevin has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kevin James Manning
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 outside of Guardian-Place the product with a carrier other than Guardian, Start: 05/15/2017, Address: 800 Westchester Ave., Suite 407A Rye Brook, NY 10573, 5 total hours per month; 4 during securities trading hours, Investment related, Less than 10% annual compensation, 2) Dennis & Kathleen Manning-Estate Executor,- Start: 08/01/2022, Address: 277 Country Club Rd. New Canaan, CT 06840 0 total hours per month, Not investment related, No annual compensation, 3) Trustee of ILIT-Dennis and Kathleen Manning-Co-trustee, Start: 08/01/2022, Address: 277 Country Club Rd. New Canaan, CT 06840 0 total hours per month, Investment related, No annual compensation, 4) Trustee of Dennis J Manning Second Amended and Restated Trust, Start: 07/24/2023, Address: 277 Country Club Rd. New Canaan, CT 06840 .5 total hours per month; 0 during securities trading hours, Not investment related, No annual compensation, 5) Trustee of The Kathleen A Manning Second Amended and Restated Trust, Start: 07/24/2023, Address: 277 Country Club Rd. New Canaan, CT 06840 .5 total hours per month; 0 during securities trading hours, Not investment related, No annual compensation, 6) KJM WM INC.-sole purpose of receiving 1099 income from my income outside of Guardian, Start: 12/15/2023, Address: 277 Country Club Rd. New Canaan, CT 06840, 1 total hours per month; 1 during securities trading hours, Not investment related, No annual compensation, 7) Advisor and Trustee -Father's revocable trust, Start: 03/01/2024, Address: 800 Westchester Ave. Suite N407 Rye Brook, NY 10573, 1 total hours per month; 1 during securities trading hours, Investment related, No annual compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Kevin J Manning's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kevin J Manning'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
March 20, 2018 - Present
PARK AVENUE SECURITIES LLC
Office #1: 800 Westchester Avenue Suite N407, Rye Brook, NY 10573RIA
BD
CRD#: 46173
Rye Brook, NY
Current
May 15, 2017 - Present
PARK AVENUE SECURITIES LLC
Office #1: 800 Westchester Avenue Suite N407, Rye Brook, NY 10573RIA
BD
CRD#: 46173
Rye Brook, NY
Past
August 12, 2008 - May 9, 2017
ENTRUST GLOBAL SECURITIES LLC
BD
CRD#: 146443
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(3/10/2022)
IAR
Arizona(3/24/2022)
RR
California(8/15/2017)
IAR
California(4/3/2018)
RR
Colorado(3/20/2018)
IAR
Colorado(3/20/2018)
RR
Connecticut(5/15/2017)
IAR
Connecticut(3/20/2018)
RR
Delaware(7/19/2022)
IAR
Delaware(3/17/2025)
RR
District of Columbia(5/15/2017)
IAR
District of Columbia(7/24/2019)
RR
Florida(5/15/2017)
IAR
Florida(12/3/2020)
RR
Georgia(5/5/2021)
IAR
Georgia(5/10/2021)
RR
Illinois(7/11/2025)
IAR
Illinois(7/11/2025)
RR
Kansas(10/26/2021)
IAR
Kansas(10/26/2021)
RR
Maryland(5/22/2018)
IAR
Maryland(5/22/2018)
RR
Massachusetts(5/15/2017)
RR
Michigan(5/15/2017)
IAR
Michigan(4/28/2022)
RR
Missouri(5/4/2021)
IAR
Missouri(5/4/2021)
RR
New Jersey(5/15/2017)
IAR
New Jersey(6/20/2018)
RR
New York(5/15/2017)
IAR
New York(4/16/2021)
RR
North Carolina(1/16/2021)
IAR
North Carolina(1/16/2021)
RR
Pennsylvania(5/18/2018)
IAR
Pennsylvania(7/11/2022)
RR
Rhode Island(9/9/2021)
IAR
Rhode Island(9/9/2021)
RR
Texas(4/7/2025)
IAR
Texas(4/7/2025)
RR
Virginia(10/1/2018)
IAR
Virginia(10/2/2018)
RR
Wisconsin(7/11/2025)
IAR
Wisconsin(7/11/2025)
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
