Michael Lee
Professional Summary
Michael Lee is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Tampa, Florida. Michael is registered as a RR (Registered Representative) and started their career in finance in 2023. Michael has worked at 2 firms and has passed the Series 63, Series 7TO, SIE and Series 6TO 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.
Similar Advisors
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CALTON & ASSOCIATES, INC.
CSENGE ADVISORY GROUP, LLC
J.W. COLE FINANCIAL, INC.
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CALTON & ASSOCIATES, INC.
CSENGE ADVISORY GROUP, LLC
J.W. COLE FINANCIAL, INC.
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CALTON & ASSOCIATES, INC.
CSENGE ADVISORY GROUP, LLC
J.W. COLE FINANCIAL, INC.
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CALTON & ASSOCIATES, INC.
CSENGE ADVISORY GROUP, LLC
J.W. COLE FINANCIAL, INC.
Years of Experience
3 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CALTON & ASSOCIATES, INC.
CSENGE ADVISORY GROUP, LLC
J.W. COLE FINANCIAL, INC.
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 |
Similar Advisors
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CALTON & ASSOCIATES, INC.
CSENGE ADVISORY GROUP, LLC
J.W. COLE FINANCIAL, INC.
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.
The advisor shows no other business activity.
Similar Advisors
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CALTON & ASSOCIATES, INC.
CSENGE ADVISORY GROUP, LLC
J.W. COLE FINANCIAL, INC.
Primary Firm SEC Registration
PARK AVENUE SECURITIES LLC | PARK AVENUE WEALTH MANAGEMENT
State Registrations and Notice Filings
(6/15/2026)
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.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed May 2023About the Series 6TO examSRO Registrations
Similar Advisors
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CALTON & ASSOCIATES, INC.
CSENGE ADVISORY GROUP, LLC
J.W. COLE FINANCIAL, INC.
CRS (Client Relationship Summary) - BD
Click below to view Michael Lee's CRS (Customer Relationship Summary).
Similar Advisors
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CALTON & ASSOCIATES, INC.
CSENGE ADVISORY GROUP, LLC
J.W. COLE FINANCIAL, INC.