CD
Charles L. Derrick
PARK AVENUE SECURITIES LLC
Annapolis, MD 21401
Some features on this profile are disabled
CRD#: 4731582
CD
Professional summary
Charles L Derrick, who also goes by Charles Lee Derrick, Charles Derrick, Lee Derrick, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Annapolis, Maryland.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Charles has worked at 1 firm and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Charles Lee Derrick | Charles Derrick | Lee Derrick
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. Treasurer BCAB Southern High School-Support the President, Treasurer and school staff in the execution of initiatives and the managing of the club finances
Start: 07/01/2017,
Address: N/A,
4 total hrs/mo, 3 hrs/mo during trading,
Not investment related.
2. South AA County Rotary Grants Committee Chair-Receive, vet, and approve grant submissions
Start: 07/01/2015,
Address: P.O. Box 131 Edgewater, MD 21037,
1 bus hr per month,
Not investment related.
3. Kathryn Prescott Trustee-Recently approved to serve as a co-guardian of Kathryn "Katie" Prescott.
Start: 05/13/2019,
Address: N/A,
10 total hrs/month, 2 hrs during trading,
Investment related.
4. Insurance Sales - non-Guardian Business,
Start: 01/01/2021,
Address: 1831 Forest Dr Suite K Annapolis, MD 21401,
10 total hours per month, 10 during securities trading hours,
Investment related,
Less than 10% annual compensation.
5. Rental Property - 1831 Forest Drive, Suite K, Annapolis, MD 21401,
Start: 01/01/2022,
Address: 1831 Forest Drive, Suite K, Annapolis, MD 21401,
1 total business hour per month, 1 during securities trading hours,
Investment related,
Less than 10% of annual compensation.
6. Resident Agent for Twin Acres - sole purpose is to receive the annual reporting requirements from Maryland and forward them to my uncle,
Start: 01/01/2022,
Address: 1831 K Forest Drive, Annapolis, MD 21401,
1 total business hour per month, 1 during securities trading hours,
Not investment related,
No annual compensation.
7. Executor Cousins Estate - David Bertelson,
Start: 01/09/2023,
Address: 9 Bethel Lane, Harwood, MD 20776,
4 total business hour per month, 2 during securities trading hours,
Not investment related,
No annual compensation.
8. Southern Alumni Scholarship Foundation Board (SASF)-Board Member,
Start: 02/01/2024,
Address: 5503 Muddy Creek Road Churchton, MD 20733,
1 total business hours per month, 1 during securities trading hours,
Not investment related,
No annual compensation,
9. Wendy Haskell, POA- Aunt,
Start: 04/25/2024,
Address: 45A Charlesbank Road Newton, MA 02458,
1 total business hours per month, 0 during securities trading hours,
Investment Related,
No annual compensation,
10. Twin Acres LLC and LLC Account Authorized Signer,
Start: 4/01/2024,
Address: 1320 West River Rd, Shadyside, MD 20764,
1 Total hour per month; 0 during securities trading hours,
Investment Related,
No Annual Compensation,
11. Galesville UMC Administrative Council Committee Member,
Start: 4/1/2025,
Address: 4825 Church Lane, Galesville MD 20765,
2 Total hours per month; 1 during securities trading hours,
Not Investment Related,
No Annual Compensation,
12. Bethel Lane HOA,
Start: 07/01/2025,
Address: 9 Bethel Lane, Harwood, MD 20776,
1 total business hours per month; 0 during securities trading hours,
Not investment related,
No annual compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Charles L Derrick's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Charles L Derrick'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 17, 2005 - Present
PARK AVENUE SECURITIES LLC
Office #1: 1831 Forest Drive Suite K, Annapolis, MD 21401RIA
BD
CRD#: 46173
Annapolis, MD
Current
January 1, 2004 - Present
PARK AVENUE SECURITIES LLC
Office #1: 1831 Forest Drive Suite K, Annapolis, MD 21401RIA
BD
CRD#: 46173
Annapolis, MD
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(6/4/2019)
RR
Arkansas(10/8/2025)
RR
California(12/3/2009)
RR
Colorado(3/25/2019)
RR
Connecticut(4/9/2019)
IAR
Connecticut(4/9/2019)
RR
District of Columbia(11/4/2004)
IAR
District of Columbia(4/20/2015)
RR
Florida(5/17/2023)
IAR
Florida(5/18/2023)
RR
Georgia(10/27/2014)
RR
Iowa(11/13/2021)
RR
Kentucky(11/30/2006)
RR
Maine(10/28/2011)
IAR
Maine(10/31/2011)
RR
Maryland(1/1/2004)
IAR
Maryland(11/17/2005)
RR
Massachusetts(2/4/2015)
RR
Michigan(7/11/2017)
IAR
Michigan(7/11/2017)
RR
Minnesota(11/27/2023)
RR
New Jersey(2/19/2009)
RR
New Mexico(2/16/2010)
IAR
New Mexico(2/17/2010)
RR
New York(8/21/2007)
IAR
New York(4/16/2021)
RR
North Carolina(9/29/2014)
IAR
North Carolina(5/20/2016)
RR
Ohio(2/4/2015)
IAR
Ohio(4/16/2020)
RR
Pennsylvania(8/26/2013)
IAR
Pennsylvania(10/15/2020)
RR
Rhode Island(7/7/2021)
IAR
Rhode Island(7/7/2021)
RR
South Carolina(7/19/2017)
IAR
South Carolina(9/7/2022)
RR
Tennessee(2/4/2015)
RR
Utah(9/17/2018)
RR
Vermont(6/10/2021)
IAR
Vermont(6/10/2021)
RR
Virginia(7/6/2004)
IAR
Virginia(4/14/2011)
RR
Washington(9/22/2016)
RR
West Virginia(4/28/2009)
IAR
West Virginia(4/4/2011)
Exams
State Security Law 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.
Company Information
PARK AVENUE SECURITIES LLC
CRD#: 46173Annapolis, MD 21401TRUST BUT VERIFY
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