WY
Wing C. Yip
PARK AVENUE SECURITIES LLC
Forest Hills, NY
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CRD#: 3263565
WY
Professional summary
Wing Chung Yip, who also goes by Susan W Yip, Susan Yip, Susan Wing Chung Yip, Wing Yip, Wing Chung Yip, Wing Chung Yip, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Forest Hills, New York.
Wing is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Wing has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Susan W Yip | Susan Yip | Susan Wing Chung Yip | Wing Yip | Wing Chung Yip | Wing Chung Yip
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) SWY ASSOCIATES LLC-rental apartments, Start date: 07/01/2011, Address: 66 St Nicholas Ave, Apt 3F, New York NY 10026, 139-76 35Th Ave, APT 7B Flushing NY 11354, 1 total hour per month; 0 during securities trading hours, Investment related, Less than 10% annual compensation, 2) YIPS PROPERTY LLC-owner, Start date: 07/13/2012, Address: 63-93 Woodhaven Blvd, APT 1B Rego Park NY 11374, 1 total hour per month; 0 during securities trading hours, Investment related, Less than 10% annual compensation, 3) JMCY & COMPANY INC-inactive corp, Start date: 06/07/2011, Address: 69-10 108TH ST APT 6F. FOREST HILLS NY 11375, 0 total hours per month, Investment related, No annual compensation, 4) Griffin Distribution Partners, Start date: 12/30/22, Address: 4 Mystic Lana Northport, NY 11768, 4 total hours per month; 0 during securities trading hours, Investment Related, Less than 10% annual compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Wing Chung Yip's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Wing Chung Yip'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 3, 2021 - Present
PARK AVENUE SECURITIES LLC
Office #2: 136-20 38th Avenue Unit 8j, Flushing, NY 11354RIA
BD
CRD#: 46173
Forest Hills, NY
Current
June 3, 2021 - Present
PARK AVENUE SECURITIES LLC
Office #1: 136-20 38th Avenue Unit 8j, Flushing, NY 11354RIA
BD
CRD#: 46173
Flushing, NY
Past
October 26, 2009 - January 16, 2020
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
FLUSHING, NY
Past
January 6, 2009 - January 16, 2020
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
FLUSHING, NY
Past
May 22, 2006 - December 8, 2008
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
FLUSHING, NY
Past
March 2, 2006 - May 30, 2006
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
NEW YORK, NY
Past
April 30, 2003 - December 31, 2004
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
CHICAGO, IL
Past
May 10, 2000 - May 1, 2003
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
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
IAR
New Jersey(8/24/2021)
RR
New Jersey(9/15/2021)
IAR
New York(6/3/2021)
RR
New York(6/10/2021)
Exams
State Security Law Exam
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.
