MO
Michael P. O Sullivan
PARK AVENUE SECURITIES LLC
Melville, NY 11747
Some features on this profile are disabled
CRD#: 3220510
MO
Professional summary
Michael P O Sullivan, who also goes by Michael Patrick Osullivan, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Melville, New York.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Michael has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael Patrick Osullivan
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. Advisory Board Member - Academy Of Finances; Participate in monthly meetings with academy directors and staff to discuss curriculum implementation and the integration of classroom and workplace experiences Start: 09/01/2005 Address: Northport High School 154 Laurel Hill Road Northport, NY 11768, 2 total hours per month, 0 during securities trading hours, No annual compensation, Not investment related, 2. Non Guardian insurance products Life, disability and long term care insurance policies Start: 06/01/1999 Address: 200 Broadhollow Road, Suite 405, Melville, NY 11747, 10 total hours per month, 10 during securities trading hours, Less than 10% annual compensation, Investment related, 3. Notary public I am a notary Public in the state of New York, county of Suffolk Start: 03/11/1998 Address: 200 Broadhollow Road, Suite 405, Melville, NY 11747, 1 total hour per month, 0 during securities trading hours, No annual compensation, Not investment related, 4. Insignis Financial Group, LLC The LLC is an approved DBA for Guardian and PAS business. Start: 06/03/2013 Address: 200 Broadhollow Road, Suite 405, Melville, NY 11747, 5 total hours per month, 5 during securities trading hours, Less than 10% annual compensation, Investment related, 5. Dennis J O'Sullivan 2010 Irrevocable Trust, Start: 10/09/2017 Address: 200 Broadhollow Road, Suite 405, Melville, NY 11747, 2 total hours per month; 2 during securities trading hours, Less than 10% annual compensation, Investment related, 6. Thomas O'Sullivan Irrevocable Trust, Co-Trustee, Start: 11/13/2023 Address: 200 Broadhollow Road, Suite 405, Melville, NY 11747, 0 hours per month, No annual compensation, Not Investment related
CRS (Client Relationship Summary) - RIA
Click below to view Michael P O Sullivan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael P O Sullivan'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 2, 2014 - Present
PARK AVENUE SECURITIES LLC
Office #1: 200 Broadhollow Road Suite 405, Melville, NY 11747RIA
BD
CRD#: 46173
Melville, NY
Current
March 30, 2012 - Present
PARK AVENUE SECURITIES LLC
Office #1: 200 Broadhollow Road Suite 405, Melville, NY 11747RIA
BD
CRD#: 46173
Melville, NY
Past
May 4, 1999 - April 2, 2012
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
WOODBURY, 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
California(3/30/2012)
IAR
California(8/20/2015)
RR
Connecticut(3/30/2012)
IAR
Connecticut(1/15/2016)
RR
Florida(3/30/2012)
IAR
Florida(1/26/2015)
RR
Georgia(9/30/2015)
IAR
Georgia(9/30/2015)
RR
Maine(8/29/2023)
IAR
Maine(8/29/2023)
RR
Maryland(7/31/2024)
IAR
Maryland(7/31/2024)
RR
Massachusetts(3/30/2012)
IAR
Massachusetts(9/21/2016)
RR
Nevada(10/23/2025)
IAR
Nevada(10/23/2025)
RR
New Jersey(3/30/2012)
IAR
New Jersey(6/2/2014)
RR
New York(3/30/2012)
IAR
New York(4/16/2021)
RR
North Carolina(5/9/2012)
IAR
North Carolina(6/21/2021)
RR
Oregon(6/27/2025)
IAR
Oregon(7/7/2025)
RR
Pennsylvania(12/10/2015)
IAR
Pennsylvania(12/10/2015)
RR
South Carolina(2/28/2019)
IAR
South Carolina(2/28/2019)
RR
Texas(9/14/2018)
IAR
Texas(7/15/2024)
RR
Washington(9/13/2018)
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.
Company Information
PARK AVENUE SECURITIES LLC
CRD#: 46173Melville, NY 11747TRUST BUT VERIFY
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