DC
David B. Cottrell
PARK AVENUE SECURITIES LLC
TAMPA, FL 33607
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CRD#: 4080311
DC
Professional summary
David Brandon Cottrell is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Tampa, Florida.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. David has worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 62 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view David Brandon Cottrell's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Brandon Cottrell'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
April 7, 2020 - Present
PARK AVENUE SECURITIES LLC
Office #1: 4200 W Cypress Street Suite 700, Tampa, FL 33607Office #2: 1016 Ponce De Leon Blvd Ste 3, Clearwater, FL 33756RIA
BD
CRD#: 46173
TAMPA, FL
Current
April 1, 2020 - Present
PARK AVENUE SECURITIES LLC
Office #1: 4200 W Cypress Street Suite 700, Tampa, FL 33607Office #2: 1016 Ponce De Leon Blvd Ste 3, Clearwater, FL 33756RIA
BD
CRD#: 46173
TAMPA, FL
Past
May 21, 2019 - March 13, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
Tulsa, OK
Past
September 18, 2017 - May 6, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
Tulsa, OK
Past
September 18, 2017 - March 13, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Tulsa, OK
Past
April 4, 2017 - September 21, 2017
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
Tulsa, OK
Past
April 3, 2017 - September 21, 2017
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
Tulsa, OK
Past
July 29, 2016 - April 4, 2017
TRADINGBLOCK
RIA
CRD#: 128605
Broken Arrow, OK
Past
March 4, 2016 - April 4, 2017
TRADINGBLOCK
BD
CRD#: 128605
CHICAGO, IL
Past
August 15, 2013 - September 3, 2014
TRADINGBLOCK
BD
CRD#: 128605
CHICAGO, IL
Past
September 30, 2008 - September 21, 2011
BROKERSXPRESS LLC
RIA
CRD#: 127081
BROKEN ARROW, OK
Past
September 30, 2008 - September 21, 2011
BROKERSXPRESS LLC
BD
CRD#: 127081
BROKEN ARROW, OK
Past
October 5, 2004 - October 29, 2008
FIRST MIDWEST SECURITIES, INC.
RIA
CRD#: 21786
BROKEN ARROW, OK
Past
September 30, 2004 - October 29, 2008
FIRST MIDWEST SECURITIES, INC.
BD
CRD#: 21786
BROKEN ARROW, OK
Past
January 7, 2003 - October 13, 2004
QUESTAR CAPITAL CORPORATION
RIA
CRD#: 43100
BROKEN ARROW, OK
Past
December 5, 2002 - October 13, 2004
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
MINNEAPOLIS, MN
Past
August 23, 2000 - December 12, 2002
FFP ADVISORY SERVICES INC
RIA
CRD#: 110778
BROKEN ARROW, OK
Past
December 8, 1999 - December 12, 2002
FFP SECURITIES, INC.
BD
CRD#: 16337
CHESTERFIELD, MO
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(8/10/2022)
IAR
California(8/11/2022)
RR
Delaware(3/6/2023)
IAR
Delaware(3/8/2023)
RR
Florida(4/1/2020)
IAR
Florida(4/8/2020)
RR
Georgia(12/24/2025)
IAR
Georgia(1/2/2026)
RR
Indiana(4/20/2023)
IAR
Indiana(4/20/2023)
RR
Iowa(3/9/2022)
IAR
Iowa(3/9/2022)
RR
Michigan(12/24/2025)
IAR
Michigan(12/24/2025)
RR
Minnesota(5/12/2022)
IAR
Minnesota(5/13/2022)
RR
New York(8/29/2023)
IAR
New York(8/29/2023)
RR
North Carolina(12/24/2025)
IAR
North Carolina(12/24/2025)
RR
Oklahoma(4/1/2020)
IAR
Oklahoma(4/7/2020)
RR
South Carolina(8/13/2025)
IAR
South Carolina(8/13/2025)
RR
Virginia(12/24/2025)
IAR
Virginia(12/24/2025)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 7/5/2000
Corporate Securities Limited Representative ExaminationGeneral 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#: 46173Tampa, FL 33607TRUST BUT VERIFY
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