Dennis S. Comerford
Professional summary
Dennis Scott Comerford was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Dennis is a previously registered financial professional and started their career in finance in 1974. Prior to being barred, Dennis had worked at 15 firms, which includes PARK AVENUE SECURITIES LLC, HORNOR TOWNSEND & KENT LLC, METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC., TRANSAMERICA INVESTORS SECURITIES LLC, SIGNAL SECURITIES INC., CONSECO EQUITY SALES INC., GENERAL AMERICAN LIFE INSURANCE COMPANY, WALNUT STREET SECURITIES INC., OMEGA SECURITIES INC., THE LINCOLN NATIONAL LIFE INSURANCE COMPANY, OSAIC FA INC., PROVIDENT NATIONAL EQUITIES INC., CORNERSTONE FINANCIAL SERVICES INC., THOMAS HILL & COMPANY.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 2002 - April 22, 2005
PARK AVENUE SECURITIES LLC
July 5, 2001 - October 18, 2002
HORNOR, TOWNSEND & KENT, LLC
December 17, 1999 - July 16, 2001
METROPOLITAN LIFE INSURANCE COMPANY
December 17, 1999 - July 16, 2001
MSI FINANCIAL SERVICES, INC.
March 10, 1999 - November 16, 1999
TRANSAMERICA INVESTORS SECURITIES, LLC
March 16, 1995 - January 30, 1999
SIGNAL SECURITIES, INC.
August 31, 1992 - August 19, 1993
CONSECO EQUITY SALES, INC.
May 22, 1986 - January 14, 1987
GENERAL AMERICAN LIFE INSURANCE COMPANY
October 2, 1985 - January 4, 1994
WALNUT STREET SECURITIES, INC.
February 20, 1981 - December 16, 1985
OMEGA SECURITIES, INC.
April 4, 1975 - June 7, 1979
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
April 4, 1975 - June 7, 1979
OSAIC FA, INC.
November 21, 1974 - June 3, 1975
PROVIDENT NATIONAL EQUITIES, INC.
November 7, 1974 - July 6, 1975
CORNERSTONE FINANCIAL SERVICES, INC.
September 17, 1974 - December 4, 1974
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
May 17, 1974 - December 4, 1974
THOMAS HILL & COMPANY
Primary Firm SEC Registration
PARK AVENUE SECURITIES LLC
CRD#: 46173 / SEC#: 801-58108, 8-51324
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 5/14/1974
Registered Representative ExaminationCurrent Firm
PARK AVENUE SECURITIES LLC
CRD#: 46173 / SEC#: 801-58108, 8-51324
Contact information
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.
