DB
Dennis M. Bavin
PARK AVENUE SECURITIES LLC
San Diego, CA 92121
Some features on this profile are disabled
CRD#: 5533888
DB
Professional summary
Dennis Michael Bavin, who also goes by Dennis M. Bavin, Dennis Bavin, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in San Diego, California.
Dennis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Dennis has worked at 3 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dennis M. Bavin | Dennis Bavin
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) Outside Insurance Broker,
Start: 02/20/2020,
Address: 5280 Carroll Canyon Rd Ste 300, San Diego, CA 92121,
5 total hours per month; 0 during securities trading hours,
Not investment related,
Less than 10% annual compensation,
2) Insurance outside of Guardian-Ash Brokerage,
Start: 9/15/2025,
Address: 5280 Carroll Canyon Road Suite 300 San Diego, CA 92121,
1 total hour per month; 1 during securities trading hours,
Investment related,
Less than 10% annual compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Dennis Michael Bavin's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dennis Michael Bavin'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 13, 2023 - Present
PARK AVENUE SECURITIES LLC
Office #1: 5280 Carroll Canyon Road Suite 300, San Diego, CA 92121RIA
BD
CRD#: 46173
San Diego, CA
Current
April 6, 2023 - Present
PARK AVENUE SECURITIES LLC
Office #1: 5280 Carroll Canyon Road Suite 300, San Diego, CA 92121RIA
BD
CRD#: 46173
San Diego, CA
Past
March 3, 2021 - March 16, 2023
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
LA JOLLA, CA
Past
February 25, 2021 - March 16, 2023
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
LA JOLLA, CA
Past
June 29, 2017 - March 1, 2019
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
SAN DIEGO, CA
Past
June 28, 2017 - March 1, 2019
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
SAN DIEGO, CA
Past
July 18, 2008 - April 13, 2016
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
SAN DIEGO, CA
Past
June 18, 2008 - April 13, 2016
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
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
California(4/7/2023)
IAR
California(4/13/2023)
RR
Connecticut(10/1/2024)
IAR
Connecticut(10/1/2024)
RR
Florida(3/3/2025)
RR
Nevada(8/24/2025)
IAR
Nevada(8/24/2025)
RR
New Mexico(10/25/2023)
IAR
New Mexico(11/8/2023)
RR
New York(10/1/2024)
IAR
New York(10/1/2024)
RR
Ohio(9/18/2025)
IAR
Ohio(9/18/2025)
RR
Texas(3/3/2025)
IAR
Texas(3/3/2025)
IAR
Utah(3/26/2024)
RR
Utah(5/1/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral 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.
