ES
Elliott N. Singer
PARK AVENUE SECURITIES LLC
Dayton, OH
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CRD#: 5925131
ES
Professional summary
Elliott N Singer, who also goes by Elliott N. Singer, Elliott Singer, Elliott Neal Singer, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Dayton, Ohio.
Elliott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Elliott has worked at 9 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Elliott N. Singer | Elliott Singer | Elliott Neal Singer
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.
FAIRBROOKE PROPERTIES POSITION: co-owner with wife and in laws NATURE: rental property INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2022 ADDRESS: 1420 Lake Pointe Way, Apt 8, Dayton OH 45459, United States DESCRIPTION: Collect money from tenant, fix things that break.
CRS (Client Relationship Summary) - RIA
Click below to view Elliott N Singer's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Elliott N Singer'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
July 10, 2024 - Present
PARK AVENUE SECURITIES LLC
Office #2: 9100 West Chester Towne Centre Dr Suite 355, West Chester, OH 45069RIA
BD
CRD#: 46173
Dayton, OH
Current
June 27, 2024 - Present
PARK AVENUE SECURITIES LLC
Office #1: 9100 West Chester Towne Centre Dr Suite 355, West Chester, OH 45069RIA
BD
CRD#: 46173
West Chester, OH
Past
September 29, 2022 - June 3, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Centerville, OH
Past
September 29, 2022 - June 3, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Centerville, OH
Past
November 30, 2020 - September 16, 2022
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
COVINGTON, KY
Past
October 12, 2020 - September 15, 2022
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
COVINGTON, KY
Past
November 11, 2019 - October 12, 2020
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
DAYTON, OH
Past
November 7, 2019 - October 12, 2020
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
DAYTON, OH
Past
January 10, 2019 - October 11, 2019
USA FINANCIAL SECURITIES LLC
BD
CRD#: 103857
BURLINGAME, CA
Past
November 27, 2013 - July 28, 2014
ALLSTATE FINANCIAL ADVISORS, LLC
RIA
CRD#: 109524
GILROY, CA
Past
November 27, 2013 - July 28, 2014
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
GILROY, CA
Past
October 10, 2012 - October 8, 2013
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
SAN JOSE, CA
Past
April 21, 2012 - October 8, 2013
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
SAN JOSE, 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(6/28/2024)
IAR
California(7/10/2024)
RR
Florida(8/27/2025)
IAR
Florida(8/28/2025)
RR
Kentucky(7/3/2024)
IAR
Kentucky(7/10/2024)
RR
New Jersey(6/27/2024)
IAR
New Jersey(8/2/2024)
RR
New York(5/19/2025)
IAR
New York(5/19/2025)
RR
Ohio(6/27/2024)
IAR
Ohio(7/10/2024)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/10/2019
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.
