SH
Samantha K. Haas
PARK AVENUE SECURITIES LLC
Honolulu, HI 96813
Some features on this profile are disabled
CRD#: 5976961
SH
Professional summary
Samantha Kate Haas is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Honolulu, Hawaii.
Samantha is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Samantha has worked at 1 firm and has passed the Series 65, Series 63, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) Board Member of ASAE Hawaii,
Start Date: 01/01/2024,
Address: Island of Oahu, P.O. Box 282, Honolulu, HI 96809,
2 total hours per month, 2 during securities trading hours,
No annual compensation,
Not investment related,
2) Board Member of Friends of CASA Hawaii,
Start Date: 02/29/2024,
Address: First Judicial Circuit 4675 Kapolei Parkway, 3rd Floor, Kapolei, Hi 96707,
1 total hour per month, 1 during securities trading hours,
No annual compensation,
Not investment related,
3) Board of Directors, Hawaii Economic Association,
Start Date: 01/01/2025,
Address: P.O. Box 2982, Honolulu, Hawaii 96802-2982,
Less than 1 total hour per month, Less than 1 hour during securities trading hours,
No annual compensation,
Not investment related,
4) Insurance other than Guardian-Independent contractor,
Nature of Business: offering Insurance Outside of Guardian,
Start date: 10/03/2025,
Address: 500 Ala Moana Blvd. Suite 3-400 Honolulu, HI 96815,
Duties: Insurance other than Guardian
.5 total hours per month; .5 during securities trading hours,
Investment related,
CRS (Client Relationship Summary) - RIA
Click below to view Samantha Kate Haas's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Samantha Kate Haas'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
August 25, 2023 - Present
PARK AVENUE SECURITIES LLC
Office #1: 500 Ala Moana Blvd Suite 3-400, Honolulu, HI 96813RIA
BD
CRD#: 46173
Honolulu, HI
Current
December 17, 2020 - Present
PARK AVENUE SECURITIES LLC
Office #1: 500 Ala Moana Blvd Suite 3-400, Honolulu, HI 96813RIA
BD
CRD#: 46173
Honolulu, HI
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(6/17/2025)
IAR
California(6/17/2025)
RR
Florida(5/20/2025)
IAR
Florida(5/21/2025)
RR
Hawaii(12/21/2020)
IAR
Hawaii(8/25/2023)
RR
Maryland(3/1/2021)
IAR
Maryland(1/5/2024)
RR
Massachusetts(6/17/2025)
RR
Montana(2/7/2025)
IAR
Montana(6/17/2025)
RR
Nevada(6/29/2022)
IAR
Nevada(1/11/2024)
RR
North Carolina(6/17/2025)
IAR
North Carolina(6/17/2025)
RR
Tennessee(3/1/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 11/5/2020
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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.
