MC
Michael W. Constantine
PARK AVENUE SECURITIES LLC
New York, NY 10022
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CRD#: 7165911
MC
Professional summary
Michael Warren Constantine, who also goes by Michael W Constantine, Michael Constantine, Mike Constantine, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in New York, New York.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Michael has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael W Constantine | Michael Constantine | Mike Constantine
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) Name of OBA - Title/Duties: Constantine I LP. Limited Partner Address: 1 South Grosstown Road, Pottstown, PA 19464 Start Date: 12/19/2000 Number of hours per month & number of hours during normal business hours: 0 per month, 0 during normal business hours Yes Investment related 2) Name of OBA - Title/Duties: Constantine II LP. Limited Partner Address: 1 South Grosstown Road, Pottstown, PA 19464 Start Date: 02/25/2002 Number of hours per month & number of hours during normal business hours: 0 per month, 0 during normal business hours Yes Investment related 3) Name of OBA - Title/Duties: Constantine III LP. Limited Partner Address: 1 South Grosstown Road, Pottstown, PA 19464 Start Date: 10/07/2002 Number of hours per month & number of hours during normal business hours: 0 per month, 0 during normal business hours Yes Investment related 4) Name of OBA - Title/Duties: Constantine Commercial LP. Limited Partner Address: 14 Spring Mill Lane, Collegeville PA 19426 Start Date: 07/14/2008 Number of hours per month & number of hours during normal business hours: 0 per month, 0 during normal business hours Yes Investment related DoorDash Inc-Part Time Driver 06/24/2024 862 Midland Ave 2FL Yonkers NY 10704 8 hours per month 0 hours during trading hours Not investment related Less than 10% Annual Percentage
CRS (Client Relationship Summary) - RIA
Click below to view Michael Warren Constantine's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Warren Constantine'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
September 18, 2025 - Present
PARK AVENUE SECURITIES LLC
Office #1: 437 Madison Avenue 29th Floor, New York, NY 10022RIA
BD
CRD#: 46173
New York, NY
Current
September 18, 2025 - Present
PARK AVENUE SECURITIES LLC
Office #1: 437 Madison Avenue 29th Floor, New York, NY 10022RIA
BD
CRD#: 46173
New York, NY
Past
April 26, 2022 - June 18, 2024
NEUBERGER BERMAN BD LLC
RIA
CRD#: 2908
NEW YORK, NY
Past
April 26, 2022 - June 18, 2024
NEUBERGER BERMAN BD LLC
BD
CRD#: 2908
NEW YORK, NY
Past
November 19, 2020 - April 15, 2022
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
NEW YORK, NY
Past
November 19, 2020 - April 15, 2022
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
NEW YORK, NY
Past
December 26, 2019 - November 3, 2020
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
NEW YORK, NY
Past
October 14, 2019 - November 3, 2020
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
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
New York(9/18/2025)
IAR
New York(9/18/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/14/2019
General Securities Representative ExaminationGeneral 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.
