Steven Swistak
PARK AVENUE SECURITIES LLC | Associate Financial Advisor
Tarrytown, NY 10591
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CRD#: 5083502
Professional summary
Steven Swistak is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Tarrytown, New York.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Steven has worked at 7 firms and has passed the Series 66, SIE and Series 7 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. Swistak Strength and Conditioning LLC,
Start Date: 01/01/2022,
Address: 23 Shelley Ave Valhalla, NY 10595,
2 total hours per month; 0 during securities trading hours,
Not Investment related,
>10% annual compensation,
2. Insurance other than Guardian,
Start Date: 1/1/2024,
Address: 580 White Plains Rd, Suite 205 Tarrytown, NY 10591,
1 total hour per month; 1 during securities trading hours,
Investment related,
<10% annual compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Steven Swistak's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Steven Swistak'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 1, 2023 - Present
PARK AVENUE SECURITIES LLC
Office #1: 580 White Plains Rd Suite 205, Tarrytown, NY 10591RIA
BD
CRD#: 46173
Tarrytown, NY
Current
November 1, 2023 - Present
PARK AVENUE SECURITIES LLC
Office #1: 580 White Plains Rd Suite 205, Tarrytown, NY 10591RIA
BD
CRD#: 46173
Tarrytown, NY
Past
July 5, 2022 - November 9, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
Hauppauge, NY
Past
May 2, 2022 - November 9, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Hauppauge, NY
Past
October 1, 2015 - May 12, 2022
RIVERSOURCE DISTRIBUTORS, INC.
BD
CRD#: 139135
MINNEAPOLIS, MN
Past
June 13, 2012 - September 15, 2015
CURIAN CAPITAL, LLC
RIA
CRD#: 120270
DENVER, CO
Past
January 8, 2010 - September 15, 2015
CURIAN CLEARING, LLC
BD
CRD#: 132938
DENVER, CO
Past
February 3, 2009 - December 31, 2009
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
BD
CRD#: 40178
DENVER, CO
Past
July 9, 2008 - October 30, 2008
JANUS HENDERSON DISTRIBUTORS US LLC
BD
CRD#: 28832
DENVER, CO
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
Connecticut(10/23/2024)
IAR
Connecticut(10/23/2024)
RR
Florida(8/15/2025)
RR
New Jersey(1/10/2024)
IAR
New Jersey(1/10/2024)
RR
New York(11/1/2023)
IAR
New York(11/1/2023)
RR
Wisconsin(10/21/2024)
IAR
Wisconsin(10/22/2024)
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
Associate Financial AdvisorCRD#: 46173Tarrytown, NY 10591TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
