David Thomas Wallace
Professional Summary
David Thomas Wallace is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Mobile, Alabama. David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. David has worked at 1 firm and has passed the Series 66, Series 7TO and SIE exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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NYLIFE SECURITIES LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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NYLIFE SECURITIES LLC
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Disclosures on record.
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Years of Experience
5 years registered in the securities industry
Current & Past Employments
Current
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Current Firm
PARK AVENUE SECURITIES LLC | PARK AVENUE WEALTH MANAGEMENT
Contact Information
Main Address
10 Hudson Yards, New York, NY 10001Mailing Address
10 Hudson Yards, New York, NY 10001Phone Number
+1 (888) 600-4667Established
Delaware since 08/20/1998Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Large# of Employees
2,073SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 53 US 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 |
| MAHER, CARLY PRITCHARD | ELECTED MEMBER & HEAD OF WEALTH MANAGEMENT STRATEGY AND BUSINESS OPERATIONS | 4003223 |
| RYNIKER, MICHAEL JOHN | PRINCIPAL OPERATIONS OFFICER | 2474604 |
| VECCHI, MEG R | ELECTED MEMBER | 4769594 |
Regulatory Assets Under Management
Total Number of Accounts
82,118AUM (Assets Under Management)
$19,575,765,851Disclosures
Regulatory Event
20Arbitration
3Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | Cover Page | Report |
| 01/22/2025 | Cover Page | Report |
| 11/15/2023 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
PARK AVENUE SECURITIES LLC | PARK AVENUE WEALTH MANAGEMENT
State Registrations and Notice Filings
(6/13/2023)
(6/14/2023)
(1/12/2026)
(9/24/2025)
(6/23/2023)
(6/30/2023)
(1/26/2024)
(11/12/2024)
(1/8/2025)
(6/17/2024)
(7/11/2023)
(8/29/2025)
(8/2/2023)
(5/10/2024)
(9/18/2025)
(6/28/2023)
(6/28/2023)
(8/12/2026)
(8/12/2026)
(10/17/2024)
(2/7/2025)
(10/6/2025)
(8/7/2024)
(8/15/2025)
(9/5/2025)
(9/8/2025)
(6/26/2023)
(6/26/2023)
(2/19/2024)
(2/19/2024)
(2/7/2025)
(3/14/2024)
(6/23/2023)
(6/23/2023)
(8/14/2025)
(8/14/2025)
(6/28/2023)
(6/28/2023)
(11/3/2025)
(11/6/2025)
(8/30/2023)
(4/10/2025)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view David Thomas Wallace's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Thomas Wallace's CRS (Customer Relationship Summary).
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