CP
Carlos M. Padilla
PARK AVENUE SECURITIES LLC
Austin, TX 78729
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CRD#: 4534634
CP
Professional summary
Carlos Mauricio Padilla, who also goes by Carlos Mauricio Padilla Mejia, Carlos Mauricio Padilla, Carlos Mauricio Padillamejia, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Austin, Texas.
Carlos is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Carlos has worked at 5 firms and has passed the Series 63, Series 65, Series 6TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Carlos Mauricio Padilla Mejia | Carlos Mauricio Padilla | Carlos Mauricio Padillamejia
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. Padilla Agency LLC -sale and solicitation of insurance, Start date: 05/01/2019 Address: 13284 Pond Springs Road, Suite 502, Austin, TX 78729, 10 total hours per month 10 during securities trading hours, Investment related, More than 50% annual compensation, 2. LMA Advancement LLC- Rental property-own and rent property to others, Start date: 11/29/2022, Address: 13284 Pond Springs Road, Suite 502, Austin, TX 78729, 1 total hours per month 1 during securities trading hours, Investment related, Less than 10% annual compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Carlos Mauricio Padilla's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Carlos Mauricio Padilla'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
April 21, 2023 - Present
PARK AVENUE SECURITIES LLC
Office #1: 13284 Pond Springs Road Suite 502, Austin, TX 78729Office #2: 901 South Mopac Expressway Barton Oaks Plaza Four Ste 150, Austin, TX 78746RIA
BD
CRD#: 46173
Austin, TX
Current
April 19, 2023 - Present
PARK AVENUE SECURITIES LLC
Office #1: 901 South Mopac Expressway Barton Oaks Plaza Four Ste 150, Austin, TX 78746RIA
BD
CRD#: 46173
Austin, TX
Past
May 6, 2021 - April 12, 2023
ADAIR FINANCIAL PRIVATE CLIENT GROUP
RIA
CRD#: 306300
Cedar Park, TX
Past
January 5, 2021 - May 3, 2021
FARMERS FINANCIAL SOLUTIONS, LLC
BD
CRD#: 103863
AUSTIN, TX
Past
October 29, 2018 - May 30, 2019
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
RIA
CRD#: 611
AUSTIN, TX
Past
May 22, 2002 - October 30, 2009
LIBERTY LIFE SECURITIES LLC
BD
CRD#: 47737
PARSIPPANY, NJ
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
Texas(4/19/2023)
IAR
Texas(4/21/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/5/2021
Investment Company Products/Variable Contracts 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)
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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.
