Aaron M. Puttroff
PARK AVENUE SECURITIES LLC
San Diego, CA 92121
Some features on this profile are disabled
CRD#: 5387158
Professional summary
Aaron M Puttroff, CFP®, who also goes by Aaron Michael Puttroff, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in San Diego, California.
Aaron is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Aaron has worked at 1 firm and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Aaron Michael Puttroff
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. Living Legacy LLC - DBA,
Start: 06/01/2008,
Address: 5280 Carroll Canyon Road, Suite 103, San Diego, CA 92121,
120 total hours per month, 120 during securities trading hours,
More than 10% annual compensation,
Investment related,
2. Insurance Sales - Life, disability and long term care insurance options.
Start: 10/21/2012
Address: 5280 Carroll Canyon Road, Suite 103, San Diego, CA 92121,
8 total hours per month, 8 during securities trading hours,
More than 10% annual compensation,
Investment related,
3. Provisors - Executive committee. Help determine who should be allowed to join or renew membership.
Start: 04/15/2011,
Address: 5280 Carroll Canyon Road, Suite 103, San Diego, CA 92121,
4 total hours per month, 3 during securities trading hours,
No annual compensation,
Not investment related,
4. Renaissance Executive Forum (REF), Ambassador,
Start: 01/01/2025,
Address: N/A. Events are held at various locations,
3 total hours per month, 3 during securities trading hours,
No annual compensation,
Not investment related
5) Scouting America Troop 676-Adult Quartermaster.
Duties: keep track of the Scout Troop's gear,
Start: 08/15/2025,
Address: 13541 Stoney Creek Rd, San Diego, CA 92129,
6 total hours per month, 0 during securities trading hours,
No annual compensation,
Not investment related
CRS (Client Relationship Summary) - RIA
Click below to view Aaron M Puttroff's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Aaron M Puttroff'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®
CFP®
Start date: 2015
Experience
Current
February 1, 2008 - Present
PARK AVENUE SECURITIES LLC
Office #1: 5280 Carroll Canyon Road Suite 103, San Diego, CA 92121RIA
BD
CRD#: 46173
San Diego, CA
Current
September 18, 2007 - Present
PARK AVENUE SECURITIES LLC
Office #1: 5280 Carroll Canyon Road Suite 103, San Diego, CA 92121RIA
BD
CRD#: 46173
San Diego, CA
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
Arizona(10/16/2020)
IAR
Arizona(2/11/2022)
RR
California(11/19/2007)
IAR
California(2/1/2008)
RR
Colorado(6/9/2021)
IAR
Colorado(6/9/2021)
RR
District of Columbia(7/18/2023)
IAR
District of Columbia(7/25/2023)
RR
Florida(1/8/2008)
IAR
Florida(2/7/2013)
RR
Hawaii(6/15/2023)
IAR
Hawaii(6/15/2023)
RR
Idaho(11/16/2015)
IAR
Idaho(8/23/2019)
RR
Illinois(8/27/2010)
IAR
Illinois(6/10/2022)
RR
Indiana(11/16/2015)
IAR
Indiana(11/16/2015)
RR
Iowa(4/23/2015)
IAR
Iowa(12/21/2020)
RR
Kansas(1/8/2008)
IAR
Kansas(7/17/2017)
RR
Maryland(2/23/2021)
IAR
Maryland(2/23/2021)
RR
Massachusetts(2/3/2022)
IAR
Massachusetts(2/23/2022)
RR
Michigan(3/10/2011)
IAR
Michigan(11/19/2013)
RR
Missouri(11/4/2019)
IAR
Missouri(11/4/2019)
RR
Montana(2/6/2025)
IAR
Montana(2/6/2025)
RR
Nebraska(4/1/2021)
IAR
Nebraska(4/7/2021)
RR
Nevada(7/11/2017)
IAR
Nevada(5/12/2020)
RR
New Mexico(10/5/2024)
IAR
New Mexico(10/7/2024)
RR
New York(12/21/2020)
IAR
New York(4/16/2021)
RR
North Carolina(2/28/2014)
IAR
North Carolina(2/28/2014)
RR
Ohio(8/6/2015)
IAR
Ohio(10/22/2015)
RR
Oklahoma(10/9/2013)
IAR
Oklahoma(4/1/2014)
RR
Tennessee(5/16/2019)
RR
Texas(7/27/2016)
IAR
Texas(7/28/2016)
RR
Utah(5/17/2019)
IAR
Utah(5/17/2019)
RR
Virginia(8/6/2008)
IAR
Virginia(2/18/2011)
RR
Washington(1/2/2014)
IAR
Washington(1/2/2014)
RR
Wyoming(5/9/2024)
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.
