IW
Ivan Watanabe
PARK AVENUE SECURITIES LLC
Goldens Bridge, NY
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CRD#: 5484879
IW
Professional summary
Ivan Watanabe is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Goldens Bridge, New York.
Ivan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Ivan has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 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. Crump Life Insurance-Fixed Life Insurance outside of the Guardian product line,
Start: 01/01/2014,
Address: 2500 Westchester Ave. Suite 401; Purchase, NY 10577,
3 bus hrs per month,
Investment related,
2. Board member - Holy Cross Alumni Association-help improve the experience of alumni engagement through events, and content. We will be responsible for putting together homecoming dinners, reunion weekends, and professional events.
Start: 08/22/2016,
Address: 1 College Street, Worcester, MA 01610,
5 bus hrs per month,
Not investment related,
3. Opus Private Client, LLC-New DBA which will be used to market all products approved for sale by Guardian/PAS,
Start: 01/16/2018,
Address:800 Westchester Avenue Suite N409 Rye Brook, NY 10573,
160 bus hrs per month,
Investment related,
>10% annual compensation,
4. IWP Wealth Management LLC-President. The LLC is set up solely as a tax strategy and is meant to receive my compensatory checks,.
Start: 03/20/2020,
Address: 5 Mill River Lane Apt. A307; Ardsley, NY 10502,
0 hrs per month,
Not investment related,
5. IWP Wealth Advisory, Inc-President. The purpose of the C Corp is strictly for my personal tax planning. It is a vehicle to receive the compensation,.
Start: 04/24/2020,
Address: 5 Mill River Lane Apt. A307; Ardsley, NY 10502,
0 hrs per month,
Not investment related,
6) Co- Trustee of Russell Carpentieri Irrevocable Life Insurance Trust,
Start: 04/18/2022,
Address:800 Westchester Avenue Suite N409 Rye Brook, NY 10573,
0 total hours per month,
Not investment related,
No annual compensation,
7) Co- Trustee of Russell Carpentieri Revocable Trust,
Start: 04/18/2022,
Address: 800 Westchester Avenue Suite N409 Rye Brook, NY 10573,
0 total hours per month,
Not investment related,
No annual compensation,
8) Treasurer of the Falcon Ridge Homeowners Association,
Start: 09/12/2022,
Address: 165 Waccabuc Rd. Goldens Bridge, NY 10526,
1 total hours per month; 0 during securities trading hours,
Not investment related,
No annual compensation,
9) Board Member-Brooks School,
Start:08/01/2025,
Address: 1160 Great Pond Rd, North Andover, MA 01845,
1 total hours per month; 0 during securities trading hours,
Not investment related,
No annual compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Ivan Watanabe's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ivan Watanabe'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
April 16, 2021 - Present
PARK AVENUE SECURITIES LLC
Office #2: 800 Westchester Avenue 4th Floor Suite N409, Rye Brook, NY 10573RIA
BD
CRD#: 46173
Goldens Bridge, NY
Current
June 28, 2013 - Present
PARK AVENUE SECURITIES LLC
Office #1: 800 Westchester Avenue 4th Floor Suite N409, Rye Brook, NY 10573RIA
BD
CRD#: 46173
Rye Brook, NY
Past
July 15, 2008 - June 14, 2013
NEW ENGLAND SECURITIES
BD
CRD#: 615
BOSTON, MA
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(9/20/2023)
RR
California(6/11/2021)
IAR
California(9/23/2025)
RR
Colorado(7/19/2022)
RR
Connecticut(6/28/2013)
IAR
Connecticut(9/24/2025)
RR
Florida(8/1/2014)
RR
Illinois(3/5/2015)
RR
Maryland(9/16/2016)
RR
Massachusetts(7/1/2013)
RR
New Hampshire(11/4/2020)
RR
New Jersey(7/9/2013)
RR
New York(6/28/2013)
IAR
New York(4/16/2021)
RR
North Carolina(2/14/2018)
RR
Pennsylvania(9/28/2018)
RR
South Carolina(9/7/2023)
RR
Texas(10/20/2020)
Exams
State Security Law Exam
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.
