SB
Steven D. Barbesh
PARK AVENUE SECURITIES LLC
Holmdel, NJ 07733
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CRD#: 4272066
SB
Professional summary
Steven D Barbesh, who also goes by Steve Barbesh, Steven David Barbesh, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Holmdel, New Jersey.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Steven has worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steve Barbesh | Steven David Barbesh
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) Uber Driver-Drive Passengers to destinations, Start date: 06/22/2023, Address: 354 Saint Andrews Place, Manalapan, NJ 07726, 20 total hours per month; 0 during securities trading hours, Not investment related, Less than 10% annual compensation, 2) Lyft-Drive Passengers to destinations, Start date: 01/23/2018, Address: 354 Saint Andrews Place, Manalapan, NJ 07726, 10 total hours per month; 0 during securities trading hours, Not investment related, Less than 10% annual compensation, 3) Food Delivery-Delivering food from restaurants to patrons, Start date: 03/26/2001, Address: 354 Saint Andrews Place, Manalapan, NJ 07726, 8 total hours per month; 0 during securities trading hours, Not investment related, Less than 10% annual compensation, 4) Jackson Hewitt-Tax Preparer, Start date: 11/02/2024, Address: 1815 NJ 35, Unit 4, Oakhurst, NJ 07755, 20 total hours per month; 0 during securities trading hours, Not investment related, Less than 10% annual compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Steven D Barbesh's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Steven D Barbesh'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
November 12, 2024 - Present
PARK AVENUE SECURITIES LLC
Office #1: 101 Crawfords Corner Road Suite 2405, Holmdel, NJ 07733RIA
BD
CRD#: 46173
Holmdel, NJ
Current
July 30, 2024 - Present
PARK AVENUE SECURITIES LLC
Office #1: 101 Crawfords Corner Road Suite 2405, Holmdel, NJ 07733RIA
BD
CRD#: 46173
Holmdel, NJ
Past
May 11, 2021 - December 31, 2023
MANNING & NAPIER INVESTOR SERVICES, INC.
BD
CRD#: 26266
FAIRPORT, NY
Past
February 12, 2015 - May 24, 2019
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
BD
CRD#: 7834
NEW YORK, NY
Past
March 28, 2013 - September 13, 2013
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
EDISON, NJ
Past
January 3, 2013 - September 13, 2013
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
EDISON, NJ
Past
August 18, 2004 - January 7, 2013
ALLIANCEBERNSTEIN L.P.
RIA
CRD#: 108477
NEW YORK, NY
Past
August 18, 2004 - January 7, 2013
ALLIANCEBERNSTEIN INVESTMENTS, INC.
BD
CRD#: 14549
NEW YORK, NY
Past
January 2, 2003 - August 23, 2004
NEW ENGLAND SECURITIES
RIA
CRD#: 615
NEPTUNE, NJ
Past
July 12, 2001 - August 23, 2004
NEW ENGLAND SECURITIES
BD
CRD#: 615
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".
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
New Jersey(7/30/2024)
IAR
New Jersey(11/12/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General 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.
