DP
David J. Pugliese
PARK AVENUE SECURITIES LLC
ROCKAWAY, NJ 07866
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CRD#: 6493390
DP
Professional summary
David Jeremy Pugliese, who also goes by David J Pugliese, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Rockaway, New Jersey.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. David has worked at 1 firm and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David J Pugliese
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. Planning Alliance Consulting (Valmax Consulting, LLC) -Fee based consulting for business and estates,
Start; 03/28/2017,
Address; 300 Broadacres Drive suite 175 Bloomfield NJ 07003,
15 total business hours per month, 15 during securities trading hours,
Less than 10% annual compensation,
Not investment related,
2. Article Writing-I have two essays I have written and I would like to have them approved for publishing in approved locations,.
Start: 06/01/2019,
Address: 50 Tice Blvd. Suite 280 Woodcliff Lake, NJ | 07677,
5 total business hours per month, 0 during securities trading hours,
No annual compensation,
Not investment related,
3. Campanella Consulting Services, LLC-My activities with this company are to assist a colleague by giving him guidance with how to run his accounting and bookkeeping business,.
Start: 02/03/2020,
Address: 404 King George Rd., Basking Ridge NJ 07920,
4 total business hours per month, 0 during securities trading hours,
Less than 10% of annual compensation,
Not investment related,
4. GAMMA FINANCIAL, LLC-the sole owner of GAMMA FINANCIAL, LLC.
Start: 02/08/2022,
Address: 1455 Macopin Rd West Milford NJ 07840,
13 total hours per month; 0 during securities trading hours,
More than 10% annual compensation,
Not investment related,
5. Lucid Trading Group, LLC-passive investor,
Start: 03/14/2025,
Address: ?405 King George Rd Unit 211 Basking Ridge NJ 07920,
0 total hours per month;
Investment related,
No annual compensation,
6. Ash Brokerage-Insurance other than Guardian,
Start: 08/5/2025,
Address: P.O. Box 2572, Fort Wayne, IN 46801,
2 total hours per month; 2 during securities trading hours,
Investment related,
Less than 10% annual compensation,
CRS (Client Relationship Summary) - RIA
Click below to view David Jeremy Pugliese's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Jeremy Pugliese'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
March 28, 2016 - Present
PARK AVENUE SECURITIES LLC
Office #1: 100 Enterprise Drive Suite 203a, Rockaway, NJ 07866Office #2: 50 Tice Blvd Suite 280, Woodcliff Lake, NJ 07677RIA
BD
CRD#: 46173
ROCKAWAY, NJ
Current
February 11, 2016 - Present
PARK AVENUE SECURITIES LLC
Office #1: 100 Enterprise Drive Suite 203a, Rockaway, NJ 07866Office #2: 50 Tice Blvd Suite 280, Woodcliff Lake, NJ 07677RIA
BD
CRD#: 46173
ROCKAWAY, 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
Arizona(1/31/2019)
RR
California(10/27/2020)
IAR
California(4/7/2023)
RR
Colorado(6/20/2023)
IAR
Colorado(8/31/2023)
RR
Connecticut(11/10/2020)
IAR
Connecticut(11/10/2020)
RR
Delaware(2/11/2025)
IAR
Delaware(2/13/2025)
RR
District of Columbia(7/10/2020)
IAR
District of Columbia(7/23/2020)
RR
Florida(5/3/2018)
IAR
Florida(5/4/2018)
RR
Indiana(2/9/2021)
IAR
Indiana(2/9/2021)
RR
Iowa(8/10/2023)
RR
Maryland(7/15/2021)
IAR
Maryland(7/15/2021)
RR
Massachusetts(9/10/2018)
RR
Nevada(4/12/2024)
IAR
Nevada(4/12/2024)
RR
New Hampshire(11/10/2021)
IAR
New Hampshire(9/25/2024)
RR
New Jersey(2/11/2016)
IAR
New Jersey(3/28/2016)
RR
New York(8/17/2016)
IAR
New York(4/16/2021)
RR
North Carolina(5/3/2019)
RR
Ohio(5/23/2017)
IAR
Ohio(5/23/2017)
RR
Pennsylvania(2/8/2017)
IAR
Pennsylvania(12/17/2020)
RR
South Carolina(7/15/2021)
IAR
South Carolina(6/3/2025)
RR
Virginia(12/4/2023)
IAR
Virginia(12/4/2023)
Exams
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.
