Nathan M. Perlmutter

PARK AVENUE SECURITIES

PRINCETON, NJ 08540

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CRD#: 360396

Professional summary

Nathan M Perlmutter, who also goes by Nathan Martin Perlmutter, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Princeton, New Jersey.

Nathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1973. Nathan has worked at 3 firms and has passed the Series 63, Series 7TO, SIE, Series 1 and Series 24 exams.

Aliases

Nathan Martin Perlmutter

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. Holly View Development Co., Inc.-Real Estate Development, Start: 01/01/1984, Address: 535 5th Ave NYC, NY 10017, 2 total hours per month; 1 during securities trading hours, Investment related, No annual compensation, 2) HVDC #1-Raw land for development, Start: 01/01/1987, Address: 535 5th Ave NYC, NY 10017, 2 total hours per month; 2 during securities trading hours, Investment related, No annual compensation, 3. Perl Brokerage, Inc-IUS and other non Guardian commissions, Start: 01/01/1980, Address: 535 5th Ave NYC, NY 10017, 3 total hours per month; 3 during securities trading hours, Investment related, Less than 10% annual compensation, 4. Forest Hills Pension Services-TPA services Start: 01/01/1990 Address: 200 Broad Hollow road, suite 405, Melville, NY 11747 3 non bus hrs per month Not investment related 5. Forest Hills Financial Group, Inc-DBA of the agency Start: 01/01/1984 Address: 118-35 Queens Blvd, suite 1230, Forest Hills, NY 11375 10 bus hrs per month Investment related >10% annual compensation 6. Forest Hills Group Services-Group life , Disability and health benefits Start: 01/01/1990 Address: 200 Broad Hollow Road, Suite 405, Melville, NY 11747 2 bus hrs per month Investment related 7. NMP Planning Co, Inc. Start: 06/01/1980 Address: 11835 Queens Blvd, ste. 1230, Forest Hills, NY 11375 Hrs per month - tot/bus: 250/60 Not investment related >10% annual compensation 8. Forest Hills Financial Group NY, LLC-Newly formed GA approximately Start: 08/01/2019 Address: 118-35 Queens Blvd. Suite 1230 Forest Hills NY 11375 122 East 42 St, NYC, NY 10168, Suite 2200, 200 Broadhollow Road, Suite 405, Melville, NY 11747 50 business hours per month Investment related >10% annual compensation 9. Perlmutter. LLC-Guardian GA, Brooklyn agency Start: 08/01/2019 Address: 33 Bartlett St., Brooklyn NY 11206 35 business hours per month Investment related >10% annual compensation, 10. Janda LLC, Member/Owner, LLC was created to hold title of my home in California, Start: 10/01/2022, Address: 740 Elk Clover Circle , Palm Desert, CA, 92211, 1 total business hour per month / 1 during securities trading hours, No annual compensation, Investment related, 11) FHFG Princeton LL-Guardian General Agency, Start: 01/01/2024, Address: 5 Vaughn Drive suite 320 Princeton, NJ 08540, 4 total hours per month; 4 during securities trading hours, Investment related, More than 10% annual compensation, 12) Ash Brokerage- independent contractor for non guardian business Start date:08/15/2025, Address: 525 5th Ave NYC, NY 10017, 2 total hours per month; 2 during securities trading hours, Investment related, Less than 10% annual compensation,

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nathan M Perlmutter's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Nathan M Perlmutter's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 16, 2003 - Present

PARK AVENUE SECURITIES LLC

Office #1: 5 Vaughn Drive Suite 320, Princeton, NJ 08540Office #4: 200 Broadhollow Road Suite 405, Melville, NY 11747Office #5: 535 Fifth Avenue 13th Floor, New York, NY 10017

RIA

CRD#: 46173

PRINCETON, NJ

Current

May 3, 1999 - Present

PARK AVENUE SECURITIES LLC

Office #1: 5 Vaughn Drive Suite 320, Princeton, NJ 08540Office #2: 200 Broadhollow Road Suite 405, Melville, NY 11747Office #3: 535 Fifth Avenue 13th Floor, New York, NY 10017

RIA

CRD#: 46173

PRINCETON, NJ

Past

November 7, 1980 - May 3, 1999

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

August 1, 1973 - June 30, 1980

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

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".

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC | PARK AVENUE WEALTH MANAGEMENT

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)

Broker-Dealer Firm Regulated by FINRA (New York district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Alabama
(8/28/2008)

Alaska
(3/27/2020)

Arizona
(1/30/2004)

Arkansas
(2/22/2007)

California
(3/7/2000)

IAR

California
(2/6/2014)

Colorado
(7/14/2004)

IAR

Colorado
(10/8/2025)

Connecticut
(5/3/1999)

IAR

Connecticut
(2/6/2014)

Delaware
(10/21/2005)

District of Columbia
(7/14/2004)

Florida
(5/3/1999)

IAR

Florida
(2/7/2014)

Georgia
(4/1/2004)

Hawaii
(6/7/2010)

Idaho
(4/30/2007)

Illinois
(4/1/2004)

Indiana
(10/21/2005)

Iowa
(4/19/2013)

Kansas
(4/19/2013)

Kentucky
(4/19/2013)

Louisiana
(8/30/2006)

Maine
(8/30/2006)

Maryland
(4/1/2004)

Massachusetts
(1/30/2004)

Michigan
(8/30/2006)

IAR

Michigan
(4/8/2010)

Minnesota
(7/7/2004)

Mississippi
(2/5/2010)

Missouri
(10/21/2005)

Montana
(8/27/2013)

Nebraska
(10/2/2018)

Nevada
(7/14/2004)

New Hampshire
(8/30/2006)

New Jersey
(5/3/1999)

IAR

New Jersey
(1/16/2003)

New Mexico
(1/30/2004)

New York
(5/3/1999)

IAR

New York
(4/16/2021)

North Carolina
(4/2/2004)

IAR

North Carolina
(10/12/2007)

North Dakota
(10/25/2016)

IAR

North Dakota
(11/16/2016)

Ohio
(7/15/2004)

Oklahoma
(8/26/2005)

Oregon
(9/18/2016)

Pennsylvania
(5/3/1999)

IAR

Pennsylvania
(2/6/2014)

Puerto Rico
(6/2/2023)

Rhode Island
(8/30/2006)

South Carolina
(8/26/2005)

IAR

South Carolina
(10/8/2025)

South Dakota
(5/31/2024)

Tennessee
(5/21/2021)

Texas
(1/30/2004)

IAR

Texas
(5/7/2025)

Utah
(1/27/2012)

Vermont
(4/19/2013)

Virginia
(4/1/2004)

Washington
(7/14/2004)

West Virginia
(4/2/2003)

Wisconsin
(8/30/2006)

Wyoming
(6/30/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

What does exam status mean?

State Security Law Exam

Series 63

Status Unavailable

Passed: 9/7/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Status Unavailable

Passed: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Status Unavailable

Passed: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Status Unavailable

Passed: 7/26/1973

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Status Unavailable

Passed: 9/30/2002

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC | PARK AVENUE WEALTH MANAGEMENT

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)

Broker-Dealer Firm Regulated by FINRA (New York district office)

PREMIUM

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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

2,073

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PAS FORM ADV REVISED FIRM BROCHURE (6/18/2026)

VESTWISE (6/18/2026)

PARK AVENUE UMA/SMA SELECT AND STRATEGIST SELECT/STRATEGIST SELECT PLUS (6/18/2026)

PARK AVENUE SIGNATURE PORTFOLIO (6/18/2026)

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
MAHER, CARLY PRITCHARD	ELECTED MEMBER & HEAD OF WEALTH MANAGEMENT STRATEGY AND BUSINESS OPERATIONS	4003223
RYNIKER, MICHAEL JOHN	PRINCIPAL OPERATIONS OFFICER	2474604
VECCHI, MEG R	ELECTED MEMBER	4769594

Regulatory assets under management

Total Number of Accounts	82,118
AUM (Assets Under Management)	$ 19,575,765,851

Disclosures

Regulatory Event	20
Arbitration	3

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/25/2025	Cover Page	Report
01/22/2025	Cover Page	Report
11/15/2023	Cover Page	Report

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.

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Nathan M. Perlmutter

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nathan M Perlmutter's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Nathan M Perlmutter's CRS (Customer Relationship Summary).

Certified licenses

Experience

PARK AVENUE SECURITIES LLC

GUARDIAN INVESTOR SERVICES LLC

METROPOLITAN LIFE INSURANCE COMPANY

Primary Firm SEC Registration

PARK AVENUE SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Passed: 9/7/1995

Series 7TO

Passed: 1/2/2023

SIE

Passed: 10/1/2018

Series 1

Passed: 7/26/1973

Series 24

Passed: 9/30/2002

FINRA

Current Firm

PARK AVENUE SECURITIES LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

PARK AVENUE SECURITIES LLC

TRUST BUT VERIFY

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