Haley Nguyen
PARK AVENUE SECURITIES LLC
Houston, TX
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CRD#: 6845626
Professional summary
Haley Nguyen, CFP® is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Houston, Texas.
Haley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Haley has worked at 3 firms and has passed the Series 66, SIE and Series 7 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) Insurance related products not offered by Guardian: independent contractor, Start Date: 09/14/2018, Address: 4107 Split Ivy Dr, Houston TX 77080, 10 total hours per month; 10 during securities trading hours, Investment Related, More than 10% annual compensation, 2) Tax Preparation-Tax preparation. Tax Planning, Start Date: 04/15/2019, Address: 16310 Tomball parkway, #403, Houston TX 77064, 40 total hours per month; 25 during securities trading hours, Investment Related, Less than 10% annual compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Haley Nguyen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Haley Nguyen'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®
CFP®
Start date: 2020
Experience
Current
January 5, 2024 - Present
PARK AVENUE SECURITIES LLC
RIA
BD
CRD#: 46173
Houston, TX
Current
May 24, 2023 - Present
PARK AVENUE SECURITIES LLC
Office #1: 15303 North Dallas Parkway Tower Ii Suite 550, Addison, TX 75001RIA
BD
CRD#: 46173
Addison, TX
Past
December 16, 2022 - December 20, 2023
PARK AVENUE INVESTMENT ADVISORY, LLC
RIA
CRD#: 310203
Houston, TX
Past
December 13, 2021 - December 16, 2022
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
Houston, TX
Past
December 13, 2021 - December 16, 2022
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
Houston, TX
Past
January 25, 2021 - November 18, 2021
INTEGRITY ALLIANCE, LLC.
RIA
CRD#: 139627
Houston, TX
Past
January 25, 2021 - November 18, 2021
INTEGRITY ALLIANCE, LLC.
BD
CRD#: 139627
Houston, TX
Past
March 13, 2018 - February 6, 2019
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
HOUSTON, TX
Past
January 2, 2018 - February 6, 2019
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
HOUSTON, TX
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(5/24/2023)
IAR
California(1/5/2024)
RR
Maryland(7/20/2023)
RR
Missouri(12/22/2023)
IAR
Missouri(1/5/2024)
RR
Texas(5/24/2023)
IAR
Texas(1/5/2024)
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.
