LM
Leopoldo D. Matarazzo
PARK AVENUE SECURITIES LLC
Paramus, NJ 07652
Some features on this profile are disabled
CRD#: 6450962
LM
Professional summary
Leopoldo Domenico Matarazzo, who also goes by Leo Matarazzo, Leopoldo D Matarazzo, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Paramus, New Jersey.
Leopoldo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Leopoldo has worked at 1 firm and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Leo Matarazzo | Leopoldo D Matarazzo
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. Insurance other than Guardian- sell products other than Guardian when appropriate,
Start date: 02/17/2015,
Address: 52 Forest Ave Paramus, NJ 07652,
2 bus hrs per month,
Investment related,
2) The Law Office of Leo Matarazzo LLC -Preparation of Basic Estate Planning Documents,
Start: 03/01/2015,
Address: 221 Navajo Drive Wyckoff NJ 07481,
10 total hours per month; 0 during securities trading hours,
Not investment related,
Less than 10% annual compensation,
3. Consultant - Wiss & Company, LLP Create (conceptually) and/or review in detail estate/business succession plans,.
Start: 03/31/2016,
Address: 354 Eisenhower Parkway, Suite 1850 Livingston, NJ 07039,
15 bus hrs per month,
Not investment related,
4) Threepoint Private Client Group, LLC-LLC for Guardian & PAS business to be used for marketing purposes,
Start: 10/01/2022,
Address: 52 Forest Avenue Paramus NJ 07652,
0 total hours per month
Not investment related,
No annual compensation,
5) L&J Planning Group, LLC-LLC for 1099 income,
Start: 12/15/2023,
Address: 221 Navajo Drive, Wyckoff NJ 07481,
0 total hours per month
Not investment related,
No annual compensation,
6) Vreeland Ventures LLC-sole purpose of this LLC is to co-invest in Citation Ceres Co-Invest LP,
Start: 12/26/2023,
Address: 651 North Broad St, Suite 201, Middletown, Delaware 19709,
0 total hours per month,
Not investment related,
No annual compensation,
7) WING INVESTORS, LLC-created for the sole purpose of investing in and becoming a stockholder of Netgain Solutions, Inc,
Start: 01/28/2022,
Address: N/A,
0 total hours per month,
Investment related,
No annual compensation,
8) NWA Investors, LLC-created for the sole purpose of investing in Arkansas Soccer Holdings, LLC,
Start: 05/22/2023,
Address: N/A,
0 total hours per month,
Investment related,
No annual compensation,
9) TaxaWyn Investments, LLC-sole purpose of investing in and becoming a stockholder of Aiwyn.ai,
Start: 07/15/2024,
Address: N/A,
0 total hours per month,
Investment related,
No annual compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Leopoldo Domenico Matarazzo's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Leopoldo Domenico Matarazzo'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
January 29, 2024 - Present
PARK AVENUE SECURITIES LLC
Office #1: 52 Forest Ave, Paramus, NJ 07652RIA
BD
CRD#: 46173
Paramus, NJ
Current
May 1, 2015 - Present
PARK AVENUE SECURITIES LLC
Office #1: 52 Forest Ave, Paramus, NJ 07652RIA
BD
CRD#: 46173
Paramus, NJ
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
Connecticut(8/5/2024)
IAR
Connecticut(8/5/2024)
RR
Nevada(1/26/2024)
IAR
Nevada(1/30/2024)
RR
New Hampshire(1/10/2020)
RR
New Jersey(5/1/2015)
IAR
New Jersey(1/29/2024)
RR
New York(1/10/2020)
IAR
New York(1/29/2024)
RR
Ohio(1/7/2025)
IAR
Ohio(1/7/2025)
RR
Pennsylvania(4/6/2021)
RR
Texas(10/23/2024)
IAR
Texas(10/23/2024)
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.
