Dean M. Rothman

PARK AVENUE SECURITIES LLC

Garden City, NY 11530

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CRD#: 4200907

Professional summary

Dean M Rothman, who also goes by Dean Michael Rothman, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Garden City, New York.

Dean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Dean has worked at 2 firms and has passed the Series 66, Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dean Michael Rothman

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. Insurance outside of Guardian (Health) Health insurance through fellow Guardian FR broker, Start: 02/15/2017, Address: 900 Stewart Ave. Suite 500, Garden City, NY 11530, 1 total hour per month, 1 during securities trading hours, Less than 10% annual compensation, Investment related,

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dean M Rothman's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Dean M Rothman'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

October 23, 2008 - Present

PARK AVENUE SECURITIES LLC

Office #1: 900 Stewart Avenue Suite 500, Garden City, NY 11530

RIA

CRD#: 46173

Garden City, NY

Current

February 24, 2003 - Present

PARK AVENUE SECURITIES LLC

Office #1: 900 Stewart Avenue Suite 500, Garden City, NY 11530

RIA

CRD#: 46173

Garden City, NY

Past

August 11, 2000 - July 1, 2002

DEUTSCHE IXE, LLC

CRD#: 7172

NEW YORK, NY

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

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
(7/17/2018)

IAR

Alabama
(7/18/2018)

Arizona
(1/7/2014)

IAR

Arizona
(1/15/2014)

Arkansas
(7/26/2022)

IAR

Arkansas
(7/26/2022)

California
(9/24/2009)

IAR

California
(9/24/2009)

Colorado
(1/7/2014)

IAR

Colorado
(1/8/2014)

Connecticut
(6/19/2008)

IAR

Connecticut
(10/23/2008)

Delaware
(2/2/2016)

IAR

Delaware
(2/2/2016)

Florida
(1/10/2006)

IAR

Florida
(10/24/2008)

Georgia
(6/17/2013)

IAR

Georgia
(2/22/2019)

Hawaii
(4/8/2009)

IAR

Hawaii
(8/5/2011)

Illinois
(2/27/2015)

IAR

Illinois
(8/7/2019)

Kentucky
(3/7/2008)

IAR

Kentucky
(10/23/2008)

Louisiana
(10/27/2021)

IAR

Louisiana
(10/27/2021)

Maryland
(7/1/2016)

IAR

Maryland
(7/14/2017)

Massachusetts
(4/12/2012)

IAR

Massachusetts
(10/23/2012)

Minnesota
(7/16/2014)

IAR

Minnesota
(7/17/2014)

Nebraska
(8/3/2023)

IAR

Nebraska
(8/8/2023)

New Hampshire
(3/18/2019)

IAR

New Hampshire
(3/21/2019)

New Jersey
(1/10/2006)

IAR

New Jersey
(10/23/2008)

New York
(2/24/2003)

IAR

New York
(4/16/2021)

IAR

North Carolina
(4/13/2018)

North Carolina
(4/18/2018)

Ohio
(7/21/2022)

IAR

Ohio
(7/21/2022)

Oregon
(12/1/2021)

IAR

Oregon
(12/17/2021)

Pennsylvania
(7/15/2011)

IAR

Pennsylvania
(8/2/2011)

South Carolina
(4/12/2018)

IAR

South Carolina
(4/13/2018)

Tennessee
(1/28/2016)

IAR

Texas
(10/28/2016)

Texas
(11/2/2016)

Utah
(10/8/2024)

IAR

Utah
(10/8/2024)

Virginia
(3/29/2010)

IAR

Virginia
(9/29/2021)

Wisconsin
(5/2/2018)

IAR

Wisconsin
(5/4/2018)

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

State Security Law Exam

IAR

Series 66

Date: 10/20/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/8/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 11/2/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 8/10/2000

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

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)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PAS FORM ADV REVISED FIRM BROCHURE (3/19/2025)

VESTWISE (3/19/2025)

PARK AVENUE UMA/SMA SELECT AND STRATEGIST SELECT/STRATEGIST SELECT PLUS (3/19/2025)

PARK AVENUE SIGNATURE PORTFOLIO (3/19/2025)

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	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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Firm Stability Insights

Dean M. Rothman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dean M Rothman's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Dean M Rothman's CRS (Customer Relationship Summary).

Certified licenses

Experience

PARK AVENUE SECURITIES LLC

DEUTSCHE IXE, LLC

Primary Firm SEC Registration

PARK AVENUE SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/20/2008

Series 63

Date: 5/8/2001

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 11/2/2000

Series 7

Date: 8/10/2000

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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