Daniel J. Nelson

PARK AVENUE SECURITIES LLC

AUSTIN, TX 78746

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CRD#: 5512198

Professional summary

Daniel J Nelson, who also goes by Daniel Joseph Nelson, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Austin, Texas.

Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Daniel has worked at 15 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Daniel Joseph Nelson

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel J Nelson's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Daniel J Nelson's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 16, 2024 - Present

PARK AVENUE SECURITIES LLC

Office #1: 1250 S. Capital Of Texas Hwy Suite 1-500, Austin, TX 78746

RIA

CRD#: 46173

AUSTIN, TX

Current

September 16, 2024 - Present

PARK AVENUE SECURITIES LLC

Office #1: 1250 S. Capital Of Texas Hwy Suite 1-500, Austin, TX 78746

RIA

CRD#: 46173

AUSTIN, TX

Past

May 5, 2023 - September 13, 2024

VANDERBILT ADVISORY SERVICES

RIA

CRD#: 116537

Round rock, TX

Past

May 5, 2023 - September 13, 2024

VANDERBILT SECURITIES, LLC

CRD#: 5953

WOODBURY, NY

Past

August 25, 2017 - March 13, 2023

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

Woodside, NY

Past

August 22, 2017 - March 13, 2023

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

Woodside, NY

Past

August 1, 2016 - June 5, 2017

LPL FINANCIAL LLC

CRD#: 6413

ROCKVILLE CENTRE, NY

Past

January 28, 2015 - August 2, 2016

CAPITAL ONE ADVISORS, LLC

RIA

CRD#: 136865

SEATTLE, WA

Past

January 2, 2015 - August 2, 2016

CAPITAL ONE INVESTING, LLC

CRD#: 45744

KEW GARDENS, NY

Past

October 17, 2014 - January 28, 2015

CAPITAL ONE FINANCIAL ADVISORS LLC

RIA

CRD#: 127236

REGO PARK, NY

Past

October 17, 2014 - January 2, 2015

CAPITAL ONE INVESTMENT SERVICES LLC

CRD#: 25658

BELLEROSE, NY

Past

August 27, 2013 - September 5, 2014

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

RIVERDALE, NJ

Past

August 27, 2013 - September 5, 2014

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

RIVERDALE, NJ

Past

August 21, 2013 - August 21, 2013

OPPENHEIMER & CO. INC.

CRD#: 249

SADDLE BROOK, NJ

Past

March 14, 2011 - August 20, 2013

EDWARD JONES

RIA

CRD#: 250

POMPTON LAKES, NJ

Past

March 11, 2011 - August 20, 2013

EDWARD JONES

CRD#: 250

POMPTON LAKES, NJ

Past

April 1, 2010 - March 21, 2011

MORGAN STANLEY

RIA

CRD#: 149777

PEARL RIVER, NY

Past

April 1, 2010 - March 21, 2011

MORGAN STANLEY

CRD#: 149777

PEARL RIVER, NY

Past

November 9, 2009 - November 12, 2009

WINDSOR STREET CAPITAL, LP

CRD#: 34171

NEW YORK, NY

Past

June 6, 2008 - August 7, 2009

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

SANTA MONICA, CA

Past

May 13, 2008 - August 7, 2009

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SANTA MONICA, 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".

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)

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.

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

Connecticut
(11/15/2024)

New Jersey
(1/8/2025)

New York
(9/16/2024)

IAR

New York
(9/16/2024)

Texas
(9/16/2024)

IAR

Texas
(9/16/2024)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/5/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/12/2008

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

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)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PAS FORM ADV REVISED FIRM BROCHURE (3/19/2025)

VESTWISE (3/19/2025)

PARK AVENUE UMA/SMA SELECT AND STRATEGIST SELECT/STRATEGIST SELECT PLUS (3/19/2025)

PARK AVENUE SIGNATURE PORTFOLIO (3/19/2025)

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	Cover Page	Report
01/22/2025	Cover Page	Report
11/15/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Daniel J. Nelson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel J Nelson's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Daniel J Nelson's CRS (Customer Relationship Summary).

Certified licenses

Experience

PARK AVENUE SECURITIES LLC

VANDERBILT ADVISORY SERVICES

VANDERBILT SECURITIES, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

LPL FINANCIAL LLC

CAPITAL ONE ADVISORS, LLC

CAPITAL ONE INVESTING, LLC

CAPITAL ONE FINANCIAL ADVISORS LLC

CAPITAL ONE INVESTMENT SERVICES LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

OPPENHEIMER & CO. INC.

EDWARD JONES

EDWARD JONES

MORGAN STANLEY

MORGAN STANLEY

WINDSOR STREET CAPITAL, LP

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

Primary Firm SEC Registration

PARK AVENUE SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/5/2008

SIE

Date: 10/1/2018

Series 7

Date: 5/12/2008

FINRA

Current Firm

PARK AVENUE SECURITIES LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

PARK AVENUE SECURITIES LLC

TRUST BUT VERIFY

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