David A. Krouse
PARK AVENUE SECURITIES LLC
Edwardsville, IL
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CRD#: 5782472
Professional summary
David Alan Krouse JR., CFP®, who also goes by David A Krouse Jr, David A Krouse Jr., David A Krouse, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Edwardsville, Illinois.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. David has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David A Krouse Jr | David A Krouse Jr. | David A Krouse
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 Companies-If guardian is not a fit for the client I will go to outside insurance carriers to fulfill their need, Start: 01/01/2016, Address: 233 Wilshire Blvd Suite 550 Santa Monica, CA 90401, 1 total hour per month, 1 during securities trading hours, Less than 10% annual compensation, Investment related, 2) Actor- Acting alongside my wife. W2 or independent contractor income depending on production company. Start: 04/26/2022, Address: 29899 Agoura Rd Suite 110 Agoura Hills, CA 91310, 0-1 total hours per month; 0-1 during securities trading hours, Less than 10% annual compensation, Not Investment related,
CRS (Client Relationship Summary) - RIA
Click below to view David Alan Krouse JR.'s CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Alan Krouse JR.'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: 2021
Experience
Current
December 5, 2018 - Present
PARK AVENUE SECURITIES LLC
RIA
BD
CRD#: 46173
Edwardsville, IL
Current
December 3, 2018 - Present
PARK AVENUE SECURITIES LLC
Office #1: 2875 Michelle Drive Suite 110, Irvine, CA 92606RIA
BD
CRD#: 46173
IRVINE, CA
Past
November 30, 2017 - December 5, 2018
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
SANTA MONICA, CA
Past
January 28, 2016 - December 5, 2018
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SANTA MONICA, CA
Past
February 17, 2012 - December 22, 2015
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
LOS ANGELES, CA
Past
May 12, 2010 - February 2, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
LOS ANGELES, 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
Alabama(1/5/2025)
IAR
Alabama(1/5/2025)
RR
Arizona(4/19/2022)
IAR
Arizona(5/4/2022)
RR
California(12/3/2018)
IAR
California(12/5/2018)
RR
Colorado(10/14/2021)
IAR
Colorado(10/14/2021)
RR
Connecticut(4/18/2025)
IAR
Connecticut(4/18/2025)
RR
District of Columbia(2/27/2020)
IAR
District of Columbia(3/2/2020)
RR
Florida(6/6/2025)
IAR
Florida(6/9/2025)
RR
Illinois(4/13/2021)
IAR
Illinois(4/21/2021)
RR
Indiana(8/18/2025)
IAR
Indiana(8/18/2025)
RR
Michigan(3/10/2022)
IAR
Michigan(3/10/2022)
RR
Missouri(3/17/2022)
IAR
Missouri(3/17/2022)
RR
New York(5/19/2022)
IAR
New York(5/19/2022)
RR
Ohio(8/2/2021)
IAR
Ohio(8/2/2021)
RR
Oregon(12/2/2020)
IAR
Oregon(12/7/2020)
RR
Texas(7/30/2024)
IAR
Texas(7/30/2024)
RR
Utah(1/18/2023)
IAR
Utah(1/18/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/1/2025
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.
