David Moore
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Moore, who also goes by Dave Moore, David - Moore, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1999. David had worked at 10 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 18, 2016 - September 11, 2017
PARK AVENUE SECURITIES LLC
May 18, 2016 - September 11, 2017
PARK AVENUE SECURITIES LLC
July 19, 2012 - April 6, 2016
ONEAMERICA SECURITIES, INC.
July 10, 2012 - April 6, 2016
ONEAMERICA SECURITIES, INC.
February 14, 2012 - June 15, 2012
PARK AVENUE SECURITIES LLC
February 1, 2012 - June 15, 2012
PARK AVENUE SECURITIES LLC
October 23, 2006 - December 23, 2011
MSI FINANCIAL SERVICES, INC.
September 27, 2006 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
September 27, 2006 - December 23, 2011
MSI FINANCIAL SERVICES, INC.
October 1, 2004 - September 28, 2006
THRIVENT INVESTMENT MANAGEMENT INC.
March 11, 2003 - September 28, 2006
THRIVENT INVESTMENT MANAGEMENT INC.
June 18, 2002 - February 24, 2003
VERAVEST INVESTMENT ADVISORS, INC.
May 31, 2002 - February 25, 2003
VERAVEST INVESTMENTS, INC.
November 28, 2001 - May 7, 2002
B. RILEY WEALTH MANAGEMENT
July 19, 2001 - December 3, 2001
J. MICHAEL-PATRICK, L.L.C.
October 1, 1999 - June 12, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
PARK AVENUE SECURITIES LLC
CRD#: 46173 / SEC#: 801-58108, 8-51324
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PARK AVENUE SECURITIES LLC
CRD#: 46173 / SEC#: 801-58108, 8-51324
Contact information
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.
