GB
Gordon L. Brookhart
PARK AVENUE SECURITIES LLC
Columbus, OH 43240
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CRD#: 729669
GB
Professional summary
Gordon L Brookhart, who also goes by Gordon Lyle Brookhart, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Columbus, Ohio.
Gordon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Gordon has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6, Series 53, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Gordon Lyle Brookhart
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. Harness Racing-I currently own one horse, but have owned two at the same time in the past. I also have a license to drive., Start: 01/01/2011, Address: 331 Hampton Park N, Westerville, OH 43081, 20 non bus hrs per month, Not investment related,
CRS (Client Relationship Summary) - RIA
Click below to view Gordon L Brookhart's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Gordon L Brookhart'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
January 3, 2014 - Present
PARK AVENUE SECURITIES LLC
Office #1: 8425 Pulsar Place Suite 450, Columbus, OH 43240Office #2: 8425 Pulsar Place Suite 401, Columbus, OH 43240RIA
BD
CRD#: 46173
Columbus, OH
Current
December 13, 2013 - Present
PARK AVENUE SECURITIES LLC
Office #1: 8425 Pulsar Place Suite 450, Columbus, OH 43240Office #2: 8425 Pulsar Place Suite 401, Columbus, OH 43240RIA
BD
CRD#: 46173
Columbus, OH
Past
May 10, 2005 - December 5, 2013
NEW ENGLAND SECURITIES
RIA
CRD#: 615
COLUMBUS, OH
Past
March 18, 2005 - December 5, 2013
NEW ENGLAND SECURITIES
BD
CRD#: 615
COLUMBUS, OH
Past
May 7, 2004 - January 7, 2005
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
COLUMBUS, OH
Past
April 1, 2004 - January 7, 2005
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Past
January 18, 2002 - March 12, 2004
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
NEW YORK, NY
Past
April 6, 2000 - December 31, 2001
NATCITY INSURANCE SERVICES, INC.
BD
CRD#: 16989
CLEVELAND, OH
Past
April 6, 2000 - January 4, 2002
NATCITY INVESTMENTS, INC.
BD
CRD#: 17490
CLEVELAND, OH
Past
July 30, 1999 - April 18, 2000
WADDELL & REED
BD
CRD#: 866
OVERLAND PARK, KS
Past
July 7, 1993 - October 12, 1998
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
CINCINNATI, OH
Past
March 12, 1990 - June 14, 1993
NATIONWIDE SECURITIES, LLC
BD
CRD#: 11173
COLUMBUS, OH
Past
May 8, 1981 - February 24, 1990
WADDELL & REED
BD
CRD#: 866
OVERLAND PARK, KS
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
Florida(9/27/2016)
RR
Indiana(12/13/2013)
IAR
Indiana(4/22/2014)
RR
North Carolina(5/24/2021)
IAR
North Carolina(5/28/2021)
RR
Ohio(12/13/2013)
IAR
Ohio(1/3/2014)
RR
South Carolina(9/27/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
