SL
Sherri B. London
PARK AVENUE SECURITIES LLC
CALDWELL, NJ
Some features on this profile are disabled
CRD#: 4607870
SL
Professional summary
Sherri B London, who also goes by Sherri B Abrams, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Caldwell, New Jersey.
Sherri is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Sherri has worked at 6 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sherri B Abrams
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) Trustee and Healthcare Proxy-Trustee of a non-Guardian client Irrevocable Trust Agreement, Start date: 6/23/20, Address: 108 Mountain Ave., North Caldwell, NJ 07006, 1 total hour per month; 1 during securities trading hours, Not investment related, no compensation, 2) Power of Attorney - Co-Agent, Start date: 10/06/2010, Address: 108 Mountain Ave., North Caldwell, NJ 07006, 10 total hour per month; 1 during securities trading hours, Not investment related, no compensation, 3) Successor Power of Attorney for my Cousin, Start date: 10/26/2022, Address: 108 Mountain Ave., North Caldwell, NJ 07006 0 total hour per month, Not investment related, Less than 10% annual compensation, 4) Successor Trustee of my Cousin's trust, Start date: 9/26/2022, Address: 108 Mountain Ave., North Caldwell, NJ 07006 0 total hour per month, Not investment related, Less than 10% annual compensation, 5) Successor Personal Representative for my Cousin's last will and testament, Start date: 9/26/2022, Address: 108 Mountain Ave., North Caldwell, NJ 07006 0 total hour per month, Not investment related, Less than 10% annual compensation, 6) Successor Power of Attorney for my Aunt, Start date: 9/24/2015, Address: 108 Mountain Ave., North Caldwell, NJ 07006 0 total hour per month, Not investment related, Less than 10% annual compensation, 7) Successor Executrix for my Aunt's last will and testament, Start date: 9/24/2015, Address: 108 Mountain Ave., North Caldwell, NJ 07006 0 total hour per month, Not investment related, Less than 10% annual compensation, 8) Co-Trustee of my Aunt's Trust, Start date: 7/20/2007, Address: 108 Mountain Ave., North Caldwell, NJ 07006 0 total hour per month, Not investment related, Less than 10% annual compensation, 9) Executrix - Dad's Last Will & Testament, Start date: 10/06/2010, Address: 108 Mountain Ave., North Caldwell, NJ 07006, 0 total hour per month, Not investment related, More than 10% annual compensation, 10) Co-Chair, Tottenville HS Class of 1981 Reunion Committee, Start date: 04/03/2024, Address: 305 Stevens Creek Court, Johns Creek, GA 30005, 2 total hours per month, 0 during securities trading hours, No annual compensation, Not investment related
CRS (Client Relationship Summary) - RIA
Click below to view Sherri B London's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sherri B London'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 23, 2015 - Present
PARK AVENUE SECURITIES LLC
RIA
BD
CRD#: 46173
CALDWELL, NJ
Current
November 23, 2015 - Present
PARK AVENUE SECURITIES LLC
Office #1: 10 Hudson Yards, New York, NY 10001RIA
BD
CRD#: 46173
New York, NY
Past
May 12, 2011 - October 1, 2014
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
PHILADELPHIA, PA
Past
May 12, 2011 - September 6, 2013
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
SOMERSET, NJ
Past
May 12, 2011 - September 6, 2013
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
SOMERSET, NJ
Past
May 12, 2011 - October 1, 2014
NEW ENGLAND SECURITIES
BD
CRD#: 615
SOMERSET, NJ
Past
May 12, 2011 - April 7, 2015
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
PHILADELPHIA, PA
Past
July 12, 2006 - July 16, 2009
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
SUMMIT, NJ
Past
June 18, 2003 - July 16, 2009
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
SUMMIT, 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
New Jersey(11/23/2015)
IAR
New Jersey(11/23/2015)
RR
New York(11/23/2015)
IAR
New York(4/16/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
