PD
Paul A. Dowd
PARK AVENUE SECURITIES LLC
RALEIGH, NC 27606
Some features on this profile are disabled
CRD#: 4494128
PD
Professional summary
Paul A Dowd, who also goes by Paul Andrew Dowd, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Raleigh, North Carolina.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Paul has worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Paul Andrew Dowd
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.
INSURANCE BROKER- PRODUCTS OTHER THAN GUARDIAN ADDRESS: RALEIGH, NC 27617 START DATE: 06/01/2011 5 HOURS PER MONTH/ 2 DURING NORMAL BUSINESS HOURS NON INVESTMENT RELATED
CRS (Client Relationship Summary) - RIA
Click below to view Paul A Dowd's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Paul A Dowd'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
February 26, 2021 - Present
PARK AVENUE SECURITIES LLC
Office #1: 5511 Capital Center Drive Suite 104, Raleigh, NC 27606RIA
BD
CRD#: 46173
RALEIGH, NC
Current
February 26, 2021 - Present
PARK AVENUE SECURITIES LLC
Office #1: 5511 Capital Center Drive Suite 104, Raleigh, NC 27606RIA
BD
CRD#: 46173
RALEIGH, NC
Past
January 27, 2015 - March 2, 2021
ALLSTATE FINANCIAL ADVISORS, LLC
RIA
CRD#: 109524
Cary, NC
Past
December 8, 2014 - March 2, 2021
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
CARY, NC
Past
July 10, 2013 - November 20, 2014
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
Raleigh, NC
Past
June 28, 2013 - November 20, 2014
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
Raleigh, NC
Past
December 18, 2012 - June 20, 2013
GL INVESTMENT SERVICES, LLC
RIA
CRD#: 152158
WALTHAM, MA
Past
February 9, 2012 - December 6, 2012
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
DURHAM, NC
Past
June 6, 2011 - December 6, 2012
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
DURHAM, NC
Past
March 2, 2007 - June 9, 2011
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
BOSTON, MA
Past
May 20, 2004 - January 24, 2007
NEW ENGLAND SECURITIES
BD
CRD#: 615
MANCHESTER, MA
Past
March 5, 2002 - May 21, 2004
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
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
Florida(3/18/2021)
IAR
Florida(3/19/2021)
RR
Georgia(3/18/2021)
IAR
Georgia(3/19/2021)
RR
Massachusetts(8/23/2024)
IAR
Massachusetts(11/29/2024)
RR
New York(3/25/2025)
IAR
New York(3/25/2025)
RR
North Carolina(2/26/2021)
IAR
North Carolina(2/26/2021)
RR
Pennsylvania(8/1/2025)
RR
Tennessee(5/13/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/2/2021
General Securities Representative ExaminationGeneral 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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#: 46173Raleigh, NC 27606TRUST BUT VERIFY
Monitor Paul Dowd
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
