SL
Samuel B. Lingo
PARK AVENUE SECURITIES LLC
Evansville, IN 47715
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CRD#: 7343833
SL
Professional summary
Samuel Brennan Lingo, who also goes by Sam Lingo, Samuel B Lingo, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Evansville, Indiana.
Samuel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Samuel has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sam Lingo | Samuel B Lingo
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.
Practice By The Numbers, LLC; non-investment related; 62 Oak Meadow Rd., Evansville, IN 47725; Dental Services Organization; 100% ownership; 08-15-2013 to 01-02-2021; 0 hours since January 2021; business provided practice support for a dental office that was sold in December 2020 SBL Holdings LLC; non-investment related; 62 Oak Meadow Rd., Evansville, IN 47725; LLC formed to potentially hold tangible assets for family in the future. Currently no business interests; 100% ownership; December 2020 to present; 0 hours since to date; no duties GENERAL HEALTH INSURANCE SALES, THE BARTHEL AGENCY POSITION: Agent NATURE: Finance and Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 10/04/2021 ADDRESS: 118 S. Main St, Princeton IN 47670, United States DESCRIPTION: Service previous clients during medicare open enrollment.
CRS (Client Relationship Summary) - RIA
Click below to view Samuel Brennan Lingo's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Samuel Brennan Lingo'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
November 21, 2023 - Present
PARK AVENUE SECURITIES LLC
Office #1: 4847 East Virginia St. Suite B, Evansville, IN 47715RIA
BD
CRD#: 46173
Evansville, IN
Current
November 21, 2023 - Present
PARK AVENUE SECURITIES LLC
Office #1: 4847 East Virginia St. Suite B, Evansville, IN 47715RIA
BD
CRD#: 46173
Evansville, IN
Past
August 6, 2021 - November 20, 2023
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Princeton, IN
Past
July 7, 2021 - November 20, 2023
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Princeton, IN
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
Indiana(11/21/2023)
IAR
Indiana(11/21/2023)
RR
Kentucky(3/6/2024)
IAR
Kentucky(3/6/2024)
RR
North Carolina(6/13/2025)
IAR
North Carolina(6/16/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/7/2021
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.
Company Information
PARK AVENUE SECURITIES LLC
CRD#: 46173Evansville, IN 47715TRUST BUT VERIFY
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