Sam E. Sells
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.
Sam Eugene Sells was a registered financial advisor .
Sam is a previously registered financial advisor and started their career in finance in 1968. Sam had worked at 12 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 16, 2008 - February 27, 2014
PARK AVENUE SECURITIES LLC
June 23, 2004 - December 31, 2007
EQUITY SERVICES, INC.
April 29, 2002 - October 31, 2003
MSI FINANCIAL SERVICES, INC.
February 23, 2001 - October 31, 2003
METROPOLITAN LIFE INSURANCE COMPANY
February 23, 2001 - October 31, 2003
MSI FINANCIAL SERVICES, INC.
April 29, 1997 - February 13, 2001
SUNSET FINANCIAL SERVICES, INC.
January 29, 1993 - April 18, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
January 28, 1993 - April 18, 1997
SIGNATOR INVESTORS, INC.
January 14, 1992 - January 22, 1993
SOARES FINANCIAL GROUP, INC.
December 6, 1989 - February 14, 1991
ELDER-NELSON EQUITIES CORPORATION
April 20, 1989 - December 31, 1989
CONSECO FINANCIAL SERVICES, INC.
December 18, 1986 - December 31, 1988
CONSECO FINANCIAL SERVICES, INC.
August 2, 1979 - November 9, 1987
GUARDIAN INVESTOR SERVICES LLC
October 31, 1968 - September 25, 1977
VP DISTRIBUTORS LLC
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
Series 1
Date: 10/25/1968
Registered Representative ExaminationCurrent 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.
