Michael R. Acosta
PARK AVENUE SECURITIES LLC
Charlotte, NC 28210
Some features on this profile are disabled
CRD#: 6856204
Professional summary
Michael Ryan Acosta, CFP®, who also goes by Mike Acosta, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Charlotte, North Carolina.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Michael has worked at 1 firm and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mike Acosta
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-Independent broker for other insurance carriers outside of Guardian, Start: 01/31/2019, Address: 6115 Park South Drive, Ste 200 Charlotte, NC 28210, Hrs per month - tot/bus: 8/2, Investment related, 2) Rental Property-I own a condo in uptown Charlotte, NC and I rent it out full time, Start: 10/30/2016, Address: 767 N Alexander Street, Charlotte NC 28202, 0 hrs per month, Investment related, 3) POA, Discretionary Authority, Trustee/Executor for wife-POA for my wife within our will/legal documents,. Start: 05/30/2018, Address: N/A, 0 hrs per month, Not investment related, 4) Genesis Wealth Planning, LLC-Owner of LLC for DBA with Guardian/Park Avenue Securities, Start: 03/25/2020, Address: 7046 Chrysanthemum Road Lancaster, SC 29720, 40 bus hrs per month, Investment related, >10% Annual Compensation, 5) FPA Board Member-NexGen Board member for the Charlotte Chapter of the FPA group, Start: 03/16/2022, Address: 1290 Broadway Suite 1625 Denver, CO 80203 , 5 total hours per month; 5 during securities trading hours, Not investment related, No annual compensation, 6) Wingate University Alumni Advisory Board Member, Start: 10/13/2023, Address: 211 East Wilson Street Wingate, NC 28174, 5 total hours per month; 3 during securities trading hours, Not investment related, No annual compensation, 7) The American College of Financial Services NextGen Advisory Task Force, Start: 02/23/2024, Address: 630 Allendale Road, Suite 400, King of Prussia, PA 19406, 3 total hours per month; 3 during securities trading hours, Not investment related, No annual compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Michael Ryan Acosta's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Ryan Acosta'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: 2018
Experience
Current
January 3, 2018 - Present
PARK AVENUE SECURITIES LLC
Office #1: 6115 Park South Drive Suite 200, Charlotte, NC 28210RIA
BD
CRD#: 46173
Charlotte, NC
Current
October 23, 2017 - Present
PARK AVENUE SECURITIES LLC
Office #1: 6115 Park South Drive Suite 200, Charlotte, NC 28210RIA
BD
CRD#: 46173
Charlotte, NC
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
Alabama(7/16/2025)
IAR
Alabama(7/16/2025)
RR
Arizona(2/21/2022)
IAR
Arizona(2/25/2022)
RR
California(8/7/2018)
IAR
California(8/7/2018)
RR
Colorado(6/30/2021)
IAR
Colorado(6/30/2021)
RR
Florida(1/30/2019)
IAR
Florida(1/31/2019)
RR
Georgia(3/25/2021)
IAR
Georgia(3/26/2021)
RR
Louisiana(7/1/2024)
RR
Maryland(7/9/2018)
IAR
Maryland(7/9/2018)
RR
Massachusetts(3/17/2020)
IAR
Massachusetts(3/23/2020)
RR
Minnesota(6/1/2022)
IAR
Minnesota(6/1/2022)
RR
Missouri(9/19/2023)
IAR
Missouri(9/19/2023)
RR
New Hampshire(9/29/2025)
IAR
New Hampshire(9/29/2025)
RR
New York(9/24/2025)
IAR
New York(9/24/2025)
RR
North Carolina(12/20/2017)
IAR
North Carolina(1/3/2018)
RR
Ohio(12/10/2020)
IAR
Ohio(12/10/2020)
RR
Oregon(3/10/2022)
IAR
Oregon(3/10/2022)
RR
Pennsylvania(1/29/2021)
IAR
Pennsylvania(1/29/2021)
RR
South Carolina(1/8/2018)
IAR
South Carolina(1/8/2018)
RR
Tennessee(1/5/2021)
RR
Texas(1/12/2018)
IAR
Texas(1/12/2018)
RR
Utah(7/8/2025)
IAR
Utah(7/15/2025)
RR
Virginia(3/20/2019)
IAR
Virginia(3/20/2019)
RR
Washington(3/12/2024)
IAR
Washington(3/12/2024)
RR
West Virginia(10/20/2025)
IAR
West Virginia(10/23/2025)
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.
