AL
Andrew C. Lavoie
PARK AVENUE SECURITIES LLC
RIDGEFIELD, CT 06877
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CRD#: 5337365
AL
Professional summary
Andrew Charles Lavoie, who also goes by Andrew Charles Lavoie Mr., is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Ridgefield, Connecticut.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Andrew has worked at 3 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 57 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Andrew Charles Lavoie Mr.
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. BOLTON HARRY LLC - Member/Manager; Real Estate Investment,
Start Date: 7/15/15,
Address: 52 Gilbert Street, Ridgefield, CT 06877;
0-3 total hours per month; 0 during normal securities trading hours,
Investment Related,
No annual compensation,
2) Mookie's Miracle: Board Member-Treasurer
Start Date: 02/15/2024,
Address: 52 Gilbert Street, Ridgefield, CT 06877;
3 total hours per month; 0 during normal securities trading hours,
Not investment Related,
No annual compensation,
3) Insurance other than Guardian-Agent,
Nature of Business: Insurance products other than those offered through Guardian and its subsidiaries,
Start date: 08/15/2025,
Address: 38B, Grove Street, Ste 1B, Ridgefield, CT 06877,
Duties: provides clients with access to insurance carriers other than Guardian,
1 total hour per month; 1 during securities trading hours,
Investment related,
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Charles Lavoie's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Andrew Charles Lavoie'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
October 6, 2022 - Present
PARK AVENUE SECURITIES LLC
Office #1: 38b Grove Street Unit 1b, Ridgefield, CT 06877RIA
BD
CRD#: 46173
RIDGEFIELD, CT
Current
September 16, 2022 - Present
PARK AVENUE SECURITIES LLC
Office #1: 38b Grove Street Unit 1b, Ridgefield, CT 06877RIA
BD
CRD#: 46173
RIDGEFIELD, CT
Past
March 31, 2016 - April 16, 2018
TRADITION SECURITIES AND DERIVATIVES LLC
BD
CRD#: 28269
New York, NY
Past
September 10, 2007 - April 25, 2016
TFS DERIVATIVES LLC
BD
CRD#: 30395
NEW YORK, NY
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(6/24/2025)
IAR
Alabama(6/24/2025)
RR
Arizona(3/13/2024)
IAR
Arizona(3/27/2024)
RR
California(12/9/2022)
IAR
California(7/24/2023)
RR
Colorado(9/23/2024)
IAR
Colorado(9/23/2024)
RR
Connecticut(10/4/2022)
IAR
Connecticut(10/6/2022)
RR
District of Columbia(9/15/2023)
IAR
District of Columbia(9/15/2023)
RR
Florida(4/17/2023)
IAR
Florida(4/18/2023)
RR
Indiana(8/18/2025)
IAR
Indiana(8/18/2025)
RR
Louisiana(8/1/2025)
IAR
Louisiana(8/1/2025)
RR
Maine(11/19/2024)
IAR
Maine(1/22/2025)
RR
Maryland(11/2/2023)
IAR
Maryland(11/2/2023)
RR
Massachusetts(1/5/2024)
IAR
Massachusetts(1/18/2024)
RR
Mississippi(4/10/2025)
IAR
Mississippi(4/11/2025)
RR
Nevada(11/27/2023)
IAR
Nevada(11/29/2023)
RR
New Hampshire(5/30/2023)
IAR
New Hampshire(5/30/2023)
RR
New Jersey(1/4/2023)
IAR
New Jersey(1/4/2023)
RR
New York(1/6/2023)
IAR
New York(1/6/2023)
RR
North Carolina(9/12/2023)
IAR
North Carolina(9/12/2023)
RR
Ohio(4/11/2024)
IAR
Ohio(4/11/2024)
RR
Oregon(1/24/2024)
IAR
Oregon(7/23/2025)
RR
South Carolina(9/11/2024)
IAR
South Carolina(9/11/2024)
RR
Tennessee(4/9/2024)
RR
Texas(3/13/2023)
IAR
Texas(3/13/2023)
RR
Vermont(1/24/2024)
RR
Virginia(12/8/2022)
IAR
Virginia(4/26/2024)
RR
Washington(3/19/2024)
IAR
Washington(3/19/2024)
RR
West Virginia(5/1/2024)
IAR
West Virginia(5/9/2024)
RR
Wyoming(2/18/2025)
IAR
Wyoming(2/18/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/16/2022
General Securities Representative ExaminationGeneral Industry/Product 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#: 46173Ridgefield, CT 06877TRUST BUT VERIFY
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