Richard C. Mccool
PARK AVENUE SECURITIES LLC
Milton, FL 32570
Some features on this profile are disabled
CRD#: 4539510
Professional summary
Richard Calvin Mccool, CFP®, ChFC®, CLU® is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Milton, Florida.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Richard has worked at 1 firm and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. Abbey Road Financial, LLC-Provide consulting services to improve the financial practices of our clients,
Start: 08/15/2013,
Address: 1308 N Barcelona Street Pensacola, FL 32501,
10 bus hrs per month,
Investment related,
2. United Health Care-Offering of Group Health Insurance through United Health Care to Small Business clients.,
Start: 05/01/2011,
Address: 375 North 9th Avenue, Suite A Pensacola, FL 32502,
1 bus hr per month,
Investment related,
3. RCM Professional Practice, LLC-This is solely used as a checking account to pay business expenses,
Start: 01/05/2015,
Address: 375 North 9th Avenue, Suite A Pensacola, FL 32502,
0 hrs per month,
Not investment related,
4. Blackwood Financial Group, PLLC-This is a new PLLC which will also be registered as a DBA for our business, investment & Insurance.,
Start: 11/01/2016,
Address: 375 North 9th Avenue, Suite A Pensacola, FL 32502,
160 bus hrs per month,
Investment related,
5. Captive Insurance Arrangements-Researching Captive Insurance Arrangements for clients to see if the strategy might be appropriate for them.,
Start: 04/24/2012,
Address: 375 North 9th Avenue, Suite A Pensacola, FL 32502,
5 bus hrs per month,
Investment related,
6. Executor of my spouses estate-the named executor of my spouses estate,
Start: 06/26/2019,
Address: 5318 Lakewood Drive Milton, Florida,
0 hrs per month,
Investment related,
7. Executor & Trustee of my father's estate,
Start: 07/10/2018,
Address: 6000 Players Place Milton, Florida 32570,
0 hrs per month,
Not investment related,
8. Notary Public-Notary Public to perform wedding occasionally.,
Start: 05/10/2018,
Address: 5318 Lakewood Drive Milton, Florida 32570,
0 hrs per month,
Not investment related,
No Annual Compensation,
9. Locklin Lake- Director,
Start: 09/25/2020,
Address: Locklin Lake Milton, FL,
1 total hour per month, 0 during securities trading hours,
Not investment related,
No compensation,
10. Peace Train Holdings, LLC,
Start: 10/2/2024,
Address: 5185 Elmira Street Milton, FL 32570,
2 total hours per month; 0 during securities trading hours,
Investment related,
Less than 10% Annual Compensation,
11. Historic Preservation Board Member-Milton, Florida,
Start: 03/12/2025,
Address: 6738 Dixon Street Milton, FL 32572,
4 total hours per month; 0 during securities trading hours,
Not Investment related,
No Annual Compensation,
12. Outside Insurance,
Start: 08/29/2025,
Address: 5185 Elmira Street, Milton, FL 32570,
1 total hour per month; 1 during securities trading hours,
Investment related,
<10% Annual Compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Richard Calvin Mccool's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Calvin Mccool'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®
CFP®
Start date: 2013
Experience
Current
March 29, 2006 - Present
PARK AVENUE SECURITIES LLC
Office #1: 5185 Elmira Street, Milton, FL 32570RIA
BD
CRD#: 46173
Milton, FL
Current
July 11, 2002 - Present
PARK AVENUE SECURITIES LLC
Office #1: 5185 Elmira Street, Milton, FL 32570RIA
BD
CRD#: 46173
Milton, FL
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
Alabama(1/25/2005)
IAR
Alabama(7/21/2011)
RR
Alaska(7/21/2011)
IAR
Alaska(7/21/2011)
RR
Arizona(10/17/2022)
IAR
Arizona(11/3/2022)
RR
Arkansas(7/28/2017)
IAR
Arkansas(7/28/2017)
RR
California(8/11/2008)
IAR
California(10/24/2013)
IAR
Colorado(4/19/2016)
RR
Colorado(4/20/2016)
RR
Connecticut(5/30/2018)
IAR
Connecticut(8/24/2018)
RR
Delaware(4/8/2013)
IAR
Delaware(4/8/2013)
RR
District of Columbia(7/1/2024)
IAR
District of Columbia(12/2/2024)
RR
Florida(7/11/2002)
IAR
Florida(3/29/2006)
RR
Georgia(12/14/2020)
IAR
Georgia(12/14/2020)
RR
Hawaii(2/7/2025)
RR
Idaho(7/1/2024)
IAR
Idaho(7/1/2024)
RR
Illinois(6/5/2024)
IAR
Illinois(2/27/2025)
RR
Indiana(8/26/2014)
IAR
Indiana(8/26/2014)
RR
Iowa(1/22/2024)
IAR
Iowa(1/22/2024)
RR
Louisiana(1/12/2015)
IAR
Louisiana(9/26/2023)
RR
Maryland(4/8/2013)
IAR
Maryland(4/8/2013)
RR
Massachusetts(10/18/2022)
IAR
Michigan(9/10/2025)
RR
Michigan(9/11/2025)
RR
Minnesota(1/9/2020)
IAR
Minnesota(5/19/2020)
RR
Mississippi(1/7/2016)
IAR
Mississippi(1/12/2016)
IAR
Missouri(12/10/2015)
RR
Missouri(1/4/2016)
RR
Nebraska(8/27/2021)
IAR
Nebraska(9/1/2021)
RR
Nevada(5/20/2011)
IAR
Nevada(4/18/2013)
RR
New Jersey(2/7/2020)
IAR
New Jersey(6/3/2020)
RR
New York(1/5/2023)
IAR
New York(10/18/2023)
RR
North Carolina(1/16/2008)
IAR
North Carolina(4/4/2013)
RR
Ohio(8/3/2023)
IAR
Ohio(1/31/2025)
RR
Oklahoma(6/3/2003)
IAR
Oklahoma(2/25/2020)
RR
Pennsylvania(2/19/2015)
IAR
Pennsylvania(2/19/2015)
RR
South Carolina(2/14/2025)
IAR
South Carolina(2/14/2025)
RR
Tennessee(10/9/2019)
RR
Texas(4/1/2013)
IAR
Texas(4/3/2013)
RR
Utah(6/10/2024)
IAR
Utah(6/11/2024)
RR
Virginia(9/23/2008)
IAR
Virginia(6/20/2011)
RR
Washington(12/9/2022)
IAR
Washington(6/22/2023)
RR
Wisconsin(4/5/2013)
IAR
Wisconsin(4/5/2013)
RR
Wyoming(5/5/2006)
IAR
Wyoming(7/25/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
