MB
Michael J. Blackwell
PARK AVENUE SECURITIES LLC
Avon, CT
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CRD#: 4560041
MB
Professional summary
Michael J Blackwell, CFP®, who also goes by Michael James Blackwell, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Avon, Connecticut.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Michael has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael James Blackwell
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. Mount Snow Ski Development Program-Weekend coaching of ski club students (ages 6-12.),
Start: 12/09/2017,
Address: Mount Snow PO Box 2805; West Dover, Vermont USA 0535,
5 non bus hrs per month,
Not investment related,
CRS (Client Relationship Summary) - RIA
Click below to view Michael J Blackwell's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael J Blackwell'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: 2007
Experience
Current
February 19, 2016 - Present
PARK AVENUE SECURITIES LLC
Office #2: 800 Westchester Avenue 4th Floor Suite N409, Rye Brook, NY 10573RIA
BD
CRD#: 46173
Avon, CT
Current
February 22, 2016 - Present
PARK AVENUE SECURITIES LLC
Office #1: 800 Westchester Avenue 4th Floor Suite N409, Rye Brook, NY 10573RIA
BD
CRD#: 46173
Rye Brook, NY
Past
September 16, 2008 - March 1, 2016
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
RIDGEFIELD, CT
Past
September 16, 2008 - March 1, 2016
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
RIDGEFIELD, CT
Past
November 8, 2005 - September 8, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
GREENWICH, CT
Past
September 21, 2005 - September 8, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
GREENWICH, CT
Past
August 5, 2002 - April 28, 2004
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
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
Arizona(2/22/2016)
IAR
Arizona(3/3/2016)
RR
California(2/22/2016)
IAR
California(2/22/2016)
RR
Colorado(9/13/2022)
IAR
Colorado(9/13/2022)
IAR
Connecticut(2/19/2016)
RR
Connecticut(2/22/2016)
RR
Florida(10/4/2017)
IAR
Florida(10/4/2017)
RR
Georgia(9/17/2020)
IAR
Georgia(9/17/2020)
RR
Hawaii(2/12/2021)
IAR
Hawaii(2/12/2021)
RR
Illinois(2/22/2016)
IAR
Illinois(2/22/2016)
IAR
Indiana(2/19/2016)
RR
Indiana(2/22/2016)
RR
Kentucky(10/6/2017)
IAR
Kentucky(10/6/2017)
RR
Louisiana(7/12/2017)
IAR
Louisiana(7/12/2017)
RR
Maine(2/22/2016)
IAR
Maine(2/23/2016)
IAR
Maryland(10/24/2019)
RR
Maryland(10/25/2019)
RR
Massachusetts(2/24/2016)
IAR
Massachusetts(4/15/2016)
RR
Michigan(1/31/2023)
IAR
Minnesota(2/19/2016)
RR
Minnesota(2/22/2016)
RR
Missouri(1/14/2020)
IAR
Missouri(1/14/2020)
RR
Nevada(7/18/2022)
IAR
Nevada(7/18/2022)
RR
New Hampshire(4/30/2021)
IAR
New Hampshire(4/30/2021)
RR
New Jersey(2/22/2016)
IAR
New Jersey(2/23/2016)
RR
New Mexico(3/29/2019)
RR
New York(2/22/2016)
IAR
New York(4/16/2021)
IAR
North Carolina(2/19/2016)
RR
North Carolina(2/22/2016)
IAR
Ohio(10/4/2021)
RR
Ohio(10/5/2021)
IAR
Oregon(2/19/2016)
RR
Oregon(2/22/2016)
IAR
Pennsylvania(2/19/2016)
RR
Pennsylvania(2/22/2016)
RR
South Carolina(9/7/2016)
IAR
South Carolina(9/7/2016)
IAR
Texas(2/19/2016)
RR
Texas(2/22/2016)
RR
Vermont(6/1/2021)
IAR
Vermont(6/1/2021)
IAR
Virginia(2/19/2016)
RR
Virginia(2/22/2016)
IAR
Washington(2/19/2016)
RR
Washington(2/22/2016)
RR
West Virginia(2/22/2016)
IAR
West Virginia(3/8/2016)
IAR
Wisconsin(2/19/2016)
RR
Wisconsin(2/22/2016)
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.
