SM
Sean M. Mccabe
PARK AVENUE SECURITIES LLC
BRAINTREE, MA 02184
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CRD#: 5525361
SM
Professional summary
Sean Michael Mccabe, who also goes by Sean Michael Mccabe, Sean Mccabe, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Braintree, Massachusetts.
Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Sean has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sean Michael Mccabe | Sean Mccabe
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.
Insurance Agent (Life, Disability, LTC): As part of my holistic advisor planning practice, Insurance is a part of the planning and used in most of my cases. Start Date: 06/16/2008 Address: 35 Braintree Hill Office Park, Suite 106, Braintree, MA 02184 20 total hours per month; 20 Hours during normal securities trading Hours Investment Related 26-50% Annual Compensation Weinguys trust: trustee- In the event of death of both Jeff and Leslie, Sean will oversee what the funds are used for by their children. Start Date: 01/01/2023 Address: 35 Braintree Hill Office Park, Suite 106, Braintree, MA 02184 0 total hours per month; o during normal securities trading hours Not Investment Related less than 10% Annual Compensation
CRS (Client Relationship Summary) - RIA
Click below to view Sean Michael Mccabe's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sean Michael Mccabe'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 31, 2024 - Present
PARK AVENUE SECURITIES LLC
Office #1: 35 Braintree Hill Office Park Suite 106, Braintree, MA 02184RIA
BD
CRD#: 46173
BRAINTREE, MA
Current
October 30, 2024 - Present
PARK AVENUE SECURITIES LLC
Office #1: 35 Braintree Hill Office Park Suite 106, Braintree, MA 02184RIA
BD
CRD#: 46173
BRAINTREE, MA
Past
October 23, 2023 - October 31, 2024
OSAIC WEALTH, INC.
RIA
CRD#: 23131
BRAINTREE, MA
Past
October 17, 2023 - October 31, 2024
OSAIC WEALTH, INC.
BD
CRD#: 23131
BRAINTREE, MA
Past
February 11, 2020 - October 19, 2023
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
SOUTH EASTON, MA
Past
January 25, 2019 - October 19, 2023
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
SOUTH EASTON, 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
California(10/30/2024)
IAR
California(10/31/2024)
RR
Florida(10/30/2024)
IAR
Florida(11/1/2024)
RR
Maine(10/30/2024)
IAR
Maine(10/31/2024)
RR
Massachusetts(10/30/2024)
IAR
Massachusetts(11/12/2024)
RR
New Jersey(10/30/2024)
IAR
New Jersey(11/12/2024)
RR
New York(10/30/2024)
IAR
New York(11/18/2024)
RR
Rhode Island(10/30/2024)
IAR
Rhode Island(11/4/2024)
RR
Texas(1/10/2025)
IAR
Texas(1/10/2025)
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.
Company Information
PARK AVENUE SECURITIES LLC
CRD#: 46173Braintree, MA 02184TRUST BUT VERIFY
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