Franklin L. Stowe
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Franklin L Stowe, who also goes by Franklin L Stowe II, Franklin Lonnell Stowe Ii, Franklin L Stowe, Franklin Stowe, Franklin Lonnell Stowe, Franklin Stowe Ii, was a registered financial professional .
Franklin is a previously registered financial professional and started their career in finance in 2016. Franklin had worked at 8 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 7, 2024 - May 18, 2026
PARK AVENUE SECURITIES LLC
May 3, 2024 - May 18, 2026
PARK AVENUE SECURITIES LLC
January 26, 2023 - April 26, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 25, 2023 - April 26, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 22, 2022 - December 16, 2022
EAGLE STRATEGIES LLC
May 14, 2021 - December 16, 2022
NYLIFE SECURITIES LLC
April 18, 2019 - June 25, 2020
SANFORD C. BERNSTEIN & CO., LLC
April 19, 2017 - December 4, 2018
WELLS FARGO CLEARING SERVICES, LLC
October 24, 2016 - March 3, 2017
EQUITABLE ADVISORS, LLC
June 27, 2016 - October 18, 2016
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
Primary Firm SEC Registration
PARK AVENUE SECURITIES LLC
CRD#: 46173 / SEC#: 801-58108, 8-51324
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 6/21/2019
General Securities Representative ExaminationCurrent Firm
PARK AVENUE SECURITIES LLC
CRD#: 46173 / SEC#: 801-58108, 8-51324
Contact information
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.
