DD
Dara T. Davis
PARK AVENUE SECURITIES LLC
Atlanta, GA 30342
Some features on this profile are disabled
CRD#: 7176349
DD
Professional summary
Dara Tressa Davis, who also goes by Dara Davis, Dara Harris, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Atlanta, Georgia.
Dara is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Dara has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dara Davis | Dara Harris
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.
Other Insurance: Sell insurance products not offered by Guardian. Start Date: 01/10/2020 Address: 5040 Roswell Rd, Atlanta, GA 1 total hours per month will be spent on this Outside Business Activity 1 hours per month during normal securities trading hours Investment Related School Governance Council Member: I am a member of the School Governance Council fro Alpharetta Elementary School for the 2020-2022 term. Start Date: 08/20/2020 Address: 192 Mayfield Rod, Alpharetta, GA 3 total hours per month will be spend on this Outside Business Activity 0 hours per month during normal securities trading hours Not Investment Related Davis and Davis Companies, General Partner: My husband and I have a registered business with state and federal tax IDs in place. This business is primarily for selling products (retail items) and services (coaching services). I am listed as a General Partner due to the ownership arrangement. Start Date: 08/03/2006 Address: 1155 Jennifer Oaks Drive Alpharetta, GA 30004 2 total hours per month will be spend on this Outside Business Activity 0 hours per month during normal securities trading hours Not Investment Related Coaching Services: Providing coaching services to an organization at the request of the organization. I would act as an independent coach focusing on goal setting, decision making and prioritization techniques. Start Date: 02/01/2021 Address: N/A 4 total hours per month will be spend on this Outside Business Activity 0 hours per month during normal securities trading hours Not Investment Related Board Member - The Black Girls Breathing Foundation: Board Member as Treasurer/CFO for The Black Girls Breathing Foundation (no signing authority, check writing or account access) Start Date: 08/01/2021 Address: Virtual 2 total hours per month will be spend on this Outside Business Activity 2 hours per month during normal securities trading hours Not Investment Related Advisory Board Member - Cyber Safety Architects: An Advisory Board Member for Cyber Safety Architects. Cyber Safety Architects (CSA) is an independent retail cyber insurance agency. The role is participate on the advisory board to help the company avoid commons pitfalls and execute creative solutions. Start Date: 08/01/2021 Address: Virtual 4 total hours per month will be spend on this Outside Business Activity 2 hours per month during normal securities trading hours Investment Related
CRS (Client Relationship Summary) - RIA
Click below to view Dara Tressa Davis's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dara Tressa Davis'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 17, 2023 - Present
PARK AVENUE SECURITIES LLC
Office #1: 5040 Roswell Road, Atlanta, GA 30342RIA
BD
CRD#: 46173
Atlanta, GA
Current
March 14, 2023 - Present
PARK AVENUE SECURITIES LLC
Office #1: 5040 Roswell Road, Atlanta, GA 30342RIA
BD
CRD#: 46173
Atlanta, GA
Past
December 22, 2021 - March 3, 2023
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
Atlanta, GA
Past
December 17, 2021 - March 3, 2023
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Atlanta, GA
Past
February 16, 2021 - November 29, 2021
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
ATLANTA, GA
Past
August 28, 2020 - November 29, 2021
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
ATLANTA, GA
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(3/30/2023)
IAR
Arizona(4/4/2023)
RR
California(3/29/2023)
IAR
California(3/29/2023)
RR
Colorado(3/29/2023)
IAR
Colorado(3/29/2023)
RR
Delaware(3/28/2023)
IAR
Delaware(3/28/2023)
RR
Florida(3/29/2023)
IAR
Florida(3/29/2023)
RR
Georgia(3/17/2023)
IAR
Georgia(3/17/2023)
RR
Illinois(3/29/2023)
IAR
Illinois(3/29/2023)
RR
Kansas(6/30/2023)
IAR
Kansas(7/7/2023)
RR
Kentucky(3/28/2023)
IAR
Kentucky(5/2/2025)
RR
Louisiana(3/28/2023)
RR
Maryland(3/29/2023)
IAR
Maryland(3/29/2023)
RR
Massachusetts(6/9/2025)
IAR
Massachusetts(6/16/2025)
RR
Michigan(3/30/2023)
IAR
Michigan(3/30/2023)
RR
Minnesota(3/28/2023)
IAR
Minnesota(3/28/2023)
RR
Missouri(3/28/2023)
IAR
Missouri(3/28/2023)
RR
Nebraska(9/24/2024)
IAR
Nebraska(9/24/2024)
RR
New Jersey(3/28/2023)
IAR
New Jersey(3/28/2023)
IAR
New York(5/25/2023)
RR
New York(5/28/2023)
RR
North Carolina(3/28/2023)
IAR
North Carolina(4/3/2023)
RR
Pennsylvania(3/29/2023)
IAR
Pennsylvania(3/29/2023)
RR
South Carolina(3/31/2023)
IAR
South Carolina(3/31/2023)
RR
Tennessee(3/29/2023)
RR
Texas(8/16/2023)
IAR
Texas(8/17/2023)
RR
Virginia(3/29/2023)
IAR
Virginia(3/29/2023)
RR
Wyoming(3/29/2023)
IAR
Wyoming(3/29/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/27/2020
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.
