BF
Brian S. Falconer
PARK AVENUE SECURITIES LLC
BRAINTREE, MA 02184
Some features on this profile are disabled
CRD#: 3250890
BF
Professional summary
Brian S Falconer, who also goes by Brian Scott Falconer, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Braintree, Massachusetts.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Brian has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brian Scott Falconer
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) Residential rental property. Owner, Start date: 11/01/2009, Address: 453 Bay St, Taunton, MA 02780, 1 total hour per month; 1 during securities trading hours, Investment related, Less than 10% annual compensation , 2) NAIFA-RI BOD. Board Member, Start date: 10/01/2012, Address: 2400 Post Road, Warwick, RI 02886, 2 total hours per month; 2 during securities trading hours, Non investment related, No annual compensation, 3) Wealth Management Resource Group, LLC, Start Date: 10/28/2024, Address: 35 Braintree Hill Office Park, Ste. 106, Braintree, MA 02184, 160 total hour per month; 160 during securities trading hours, Investment related, Greater than 10% annual compensation , 4) Trust, Start Date: 10/16/2015, Address: 11 Fuller Drive, Norton, MA 02766, 0 total hour per month; 0 during securities trading hours, Not Investment related, No annual compensation ,
CRS (Client Relationship Summary) - RIA
Click below to view Brian S Falconer's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brian S Falconer'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
October 28, 2024 - Present
PARK AVENUE SECURITIES LLC
Office #1: 35 Braintree Hill Office Park Suite 106, Braintree, MA 02184RIA
BD
CRD#: 46173
BRAINTREE, MA
Current
October 28, 2024 - Present
PARK AVENUE SECURITIES LLC
Office #1: 35 Braintree Hill Office Park Suite 106, Braintree, MA 02184RIA
BD
CRD#: 46173
BRAINTREE, MA
Past
September 1, 2023 - October 31, 2024
OSAIC WEALTH, INC.
RIA
CRD#: 23131
CRANSTON, RI
Past
September 1, 2023 - October 31, 2024
OSAIC WEALTH, INC.
BD
CRD#: 23131
CRANSTON, RI
Past
August 2, 2022 - September 1, 2023
OSAIC SERVICES, INC.
RIA
CRD#: 133763
BRAINTREE, MA
Past
August 2, 2022 - September 1, 2023
OSAIC SERVICES, INC.
BD
CRD#: 133763
BRAINTREE, MA
Past
May 8, 2017 - August 31, 2022
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
Braintree, MA
Past
April 12, 2017 - August 31, 2022
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
Braintree, MA
Past
January 2, 2015 - March 10, 2017
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
EAST PROVIDENCE, RI
Past
May 4, 2012 - January 2, 2015
NEW ENGLAND SECURITIES
BD
CRD#: 615
EAST PROVIDENCE, RI
Past
November 8, 2011 - May 9, 2012
BROKER DEALER FINANCIAL SERVICES CORP.
BD
CRD#: 8073
WEST DES MOINES, IA
Past
May 10, 2007 - October 30, 2009
LIBERTY LIFE SECURITIES LLC
BD
CRD#: 47737
DOVER, NH
Past
April 27, 2004 - December 31, 2006
NEW ENGLAND SECURITIES
BD
CRD#: 615
WESTPORT, CT
Past
July 14, 1999 - September 13, 2002
NEW ENGLAND SECURITIES
BD
CRD#: 615
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(10/28/2024)
RR
California(10/28/2024)
IAR
California(1/30/2025)
RR
Colorado(10/28/2024)
RR
Connecticut(10/28/2024)
RR
Florida(10/28/2024)
IAR
Florida(10/29/2024)
RR
Georgia(1/3/2025)
RR
Illinois(7/8/2025)
RR
Indiana(10/28/2024)
RR
Maine(10/28/2024)
RR
Maryland(10/28/2024)
RR
Massachusetts(10/28/2024)
IAR
Massachusetts(11/1/2024)
RR
Michigan(7/8/2025)
RR
Minnesota(10/28/2024)
RR
Nevada(7/8/2025)
RR
New Hampshire(10/28/2024)
RR
New Jersey(10/28/2024)
RR
New York(10/28/2024)
RR
North Carolina(11/1/2024)
RR
Pennsylvania(10/28/2024)
RR
Rhode Island(10/28/2024)
IAR
Rhode Island(10/28/2024)
RR
South Carolina(10/28/2024)
RR
Texas(10/28/2024)
IAR
Texas(10/28/2024)
RR
Virginia(10/28/2024)
RR
Washington(10/28/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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#: 46173Braintree, MA 02184TRUST BUT VERIFY
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