Dale A. Pieper

PARK AVENUE SECURITIES LLC

Houston, TX 77056

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CRD#: 5031389

Professional summary

Dale A Pieper, who also goes by Dale Alan Pieper, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Houston, Texas.

Dale is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Dale has worked at 2 firms and has passed the Series 66, Series 63, Series 6TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dale Alan Pieper

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. Products other than Guardian-offer products that suit the clients needs, Start: 06/16/2008, Address: 3040 Post Oak Blvd. #1150 Houston, TX 77056, 2 bus hrs per month, Investment related, 2) Skopos, LLC-pay for expenses for the business and our client education events through the LLC, Start: 04/01/2022, Address: 3040 Post Oak Blvd. #1150 Houston, TX 77056, 1 total hour per month; 1 during securities trading hours, Investment related, Less than 10% annual compensation,

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dale A Pieper's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Dale A Pieper's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 13, 2007 - Present

PARK AVENUE SECURITIES LLC

Office #1: 3040 Post Oak Blvd Suite 1150, Houston, TX 77056

RIA

CRD#: 46173

Houston, TX

Current

June 11, 2007 - Present

PARK AVENUE SECURITIES LLC

Office #1: 3040 Post Oak Blvd Suite 1150, Houston, TX 77056

RIA

CRD#: 46173

Houston, TX

Past

November 3, 2005 - May 29, 2007

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

HOUSTON, TX

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".

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)

Broker-Dealer Firm Regulated by FINRA (New York district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Arizona
(1/13/2017)

IAR

Arizona
(1/13/2017)

California
(1/31/2018)

IAR

California
(1/31/2018)

Colorado
(6/19/2018)

IAR

Colorado
(6/20/2018)

Florida
(10/3/2014)

IAR

Florida
(10/6/2014)

Georgia
(6/7/2022)

IAR

Georgia
(6/10/2022)

Iowa
(1/11/2023)

IAR

Iowa
(1/12/2023)

Louisiana
(4/20/2022)

IAR

Louisiana
(4/20/2022)

Maryland
(6/26/2018)

IAR

Maryland
(6/26/2018)

Michigan
(12/2/2022)

IAR

Michigan
(12/7/2022)

Minnesota
(4/27/2023)

IAR

Minnesota
(4/28/2023)

Missouri
(12/3/2010)

Montana
(8/1/2024)

IAR

Montana
(8/1/2024)

Nevada
(2/4/2011)

IAR

Nevada
(2/11/2011)

New Jersey
(1/17/2023)

IAR

New Jersey
(1/17/2023)

New York
(1/31/2018)

IAR

New York
(4/16/2021)

North Carolina
(3/11/2020)

IAR

North Carolina
(3/12/2020)

Ohio
(2/23/2023)

IAR

Ohio
(2/23/2023)

Oregon
(1/13/2020)

IAR

Oregon
(1/15/2020)

Pennsylvania
(7/16/2013)

IAR

Pennsylvania
(7/16/2013)

Rhode Island
(6/13/2023)

IAR

Rhode Island
(6/14/2023)

Tennessee
(4/22/2024)

Texas
(6/11/2007)

IAR

Texas
(6/13/2007)

Utah
(4/12/2019)

IAR

Utah
(4/16/2019)

Virginia
(5/21/2009)

IAR

Virginia
(6/5/2015)

Washington
(3/8/2011)

IAR

Washington
(6/13/2011)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/23/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/22/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/2/2005

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

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)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PAS FORM ADV REVISED FIRM BROCHURE (3/19/2025)

VESTWISE (3/19/2025)

PARK AVENUE UMA/SMA SELECT AND STRATEGIST SELECT/STRATEGIST SELECT PLUS (3/19/2025)

PARK AVENUE SIGNATURE PORTFOLIO (3/19/2025)

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	Cover Page	Report
01/22/2025	Cover Page	Report
11/15/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Dale A. Pieper

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dale A Pieper's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Dale A Pieper's CRS (Customer Relationship Summary).

Certified licenses

Experience

PARK AVENUE SECURITIES LLC

THRIVENT INVESTMENT MANAGEMENT INC.

Primary Firm SEC Registration

PARK AVENUE SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/23/2007

Series 63

Date: 11/22/2005

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/2/2005

FINRA

Current Firm

PARK AVENUE SECURITIES LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

PARK AVENUE SECURITIES LLC

TRUST BUT VERIFY

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