David R Richards

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Contact Information

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Disclosures on record.

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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Years of Experience

20 years registered in the securities industry

Current & Past Employments

Current

PARK AVENUE SECURITIES LLCCurrent·CRD# 46173

RIA

BD

8010 Excelsior Drive Suite 200, Madison, WI 53717

January 19, 2016 - Present

PARK AVENUE SECURITIES LLCCurrent·CRD# 46173

RIA

BD

8010 Excelsior Drive Suite 200, Madison, WI 53717

March 20, 2008 - Present

Past

CHASE INVESTMENT SERVICES CORP.Past·CRD# 25574

BD

Watertown, WI

June 28, 2006 - March 3, 2008

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Current Firm

PA

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC | PARK AVENUE WEALTH MANAGEMENT

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)

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).

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

2,073

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 53 US 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 (10/30/2026)

VESTWISE (10/30/2026)

PARK AVENUE UMA/SMA SELECT AND STRATEGIST SELECT/STRATEGIST SELECT PLUS (10/30/2026)

PARK AVENUE SIGNATURE PORTFOLIO (10/30/2026)

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
MAHER, CARLY PRITCHARD	ELECTED MEMBER & HEAD OF WEALTH MANAGEMENT STRATEGY AND BUSINESS OPERATIONS	4003223
RYNIKER, MICHAEL JOHN	PRINCIPAL OPERATIONS OFFICER	2474604
VECCHI, MEG R	ELECTED MEMBER	4769594

Regulatory Assets Under Management

Total Number of Accounts

82,118

AUM (Assets Under Management)

$19,575,765,851

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

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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). Insurance Sales-Sell insurance (life, DI, LTC) and fixed annuity products through carriers other than Guardian. Start: 12/12/2008, Address: 8010 Excelsior Dr, Suite 200 Madison, WI 53717, 5 total hours per month; 5 during securities trading hours, Investment related, Less than 10% annual compensation, 2) Power of Attorney for Ashley Richards (Spouse), Start: 03/06/2023 Address: 3772 Silverbell Rd Verona, WI 53593, 0 total hours per month; Not Investment related, No annual compensation,

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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 | PARK AVENUE WEALTH MANAGEMENT

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)

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.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Alaska
(10/27/2015)

IAR

Alaska
(5/14/2018)

RR

Florida
(7/9/2015)

IAR

Florida
(3/13/2020)

RR

Georgia
(3/3/2022)

IAR

Georgia
(3/4/2022)

RR

Iowa
(1/18/2022)

IAR

Iowa
(1/18/2022)

RR

Kentucky
(11/18/2008)

RR

Michigan
(6/5/2026)

IAR

Michigan
(6/9/2026)

RR

Minnesota
(11/10/2023)

IAR

Minnesota
(11/13/2023)

RR

Missouri
(10/16/2019)

IAR

Missouri
(10/16/2019)

RR

Pennsylvania
(1/16/2026)

IAR

Pennsylvania
(1/16/2026)

RR

Texas
(9/14/2017)

IAR

Texas
(9/14/2017)

RR

Wisconsin
(3/20/2008)

IAR

Wisconsin
(1/19/2016)

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.