RS
Rodney K. Suzuki
PARK AVENUE SECURITIES LLC
Campbell, CA 95008
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CRD#: 4213810
RS
Professional summary
Rodney Kim Suzuki, who also goes by Rodney Suzuki, Rodney Kim Suzuki, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Campbell, California.
Rodney is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Rodney has worked at 5 firms and has passed the Series 65, Series 63, Series 7, SIE, Series 62 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rodney Suzuki | Rodney Kim Suzuki
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.
Name: Outside insurance sales Start Date: 05/25/2023 Address: 44 montgomery st, san francisco, ca 94104 10 Total hours per month and 10 total hours during securities trading hours Investment related Less than 10% annual compensation
CRS (Client Relationship Summary) - RIA
Click below to view Rodney Kim Suzuki's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Rodney Kim Suzuki'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
June 22, 2023 - Present
PARK AVENUE SECURITIES LLC
Office #1: 910 E Hamilton Avenue Suite 150, Campbell, CA 95008RIA
BD
CRD#: 46173
Campbell, CA
Current
June 22, 2023 - Present
PARK AVENUE SECURITIES LLC
Office #1: 910 E Hamilton Avenue Suite 150, Campbell, CA 95008RIA
BD
CRD#: 46173
Campbell, CA
Past
March 4, 2022 - November 10, 2022
CUSO FINANCIAL SERVICES, L.P.
RIA
CRD#: 42132
SAN FRANCISCO, CA
Past
March 4, 2022 - November 10, 2022
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
SAN FRANCISCO, CA
Past
September 29, 2021 - March 4, 2022
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
SAN FRANCISCO, CA
Past
September 29, 2021 - March 4, 2022
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SAN FRANCISCO, CA
Past
January 19, 2018 - August 20, 2021
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Walnut Creek, CA
Past
January 5, 2018 - August 20, 2021
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Walnut Creek, CA
Past
September 28, 2011 - January 10, 2018
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
SAN FRANCISCO, CA
Past
June 6, 2011 - January 10, 2018
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SAN FRANCISCO, CA
Past
February 7, 2001 - March 31, 2005
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
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(6/22/2023)
IAR
California(6/22/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 10/31/2011
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.
