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BD

Brooke H. Davis

PARK AVENUE INVESTMENT ADVISORY
THE WOODLANDS, TX 77380
Some features on this profile are disabled
CRD#: 7828662
BD

Professional summary

Brooke Hiett Davis, who also goes by Brooke Davis, is a registered financial advisor currently at PARK AVENUE INVESTMENT ADVISORY, LLC located in The Woodlands, Texas and PARK AVENUE SECURITIES LLC located in The Woodlands, Texas.

Brooke is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2024. Brooke has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Brooke Davis

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brooke Hiett Davis's CRS (Customer Relationship Summary).
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®
None

Experience

Current

July 19, 2024 - Present

PARK AVENUE INVESTMENT ADVISORY, LLC

Office #1: 1095 Evergreen Circle Suite 205, The Woodlands, TX 77380
RIA
CRD#: 310203
THE WOODLANDS, TX
Current

February 12, 2024 - Present

PARK AVENUE SECURITIES LLC

Office #1: 1095 Evergreen Circle Suite 205, The Woodlands, TX 77380
RIA
BD
CRD#: 46173
The Woodlands, TX
Past

July 2, 2024 - July 19, 2024

PARK AVENUE SECURITIES LLC

RIA
CRD#: 46173
NEW YORK, NY

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 INVESTMENT ADVISORY, LLC
GUARDIAN ADVISORY SERVICES LLC | WESTPAC WEALTH PARTNERS | PARK AVENUE INVESTMENT ADVISORY, LLC | PARK AVENUE INVESTMENT ADVISORY | ONE WEALTH MANAGEMENT FINANCIAL AND INSURANCE SERVICES, INC. | GUARDIAN STRATEGIC ADVISORS | GUARDIAN ADVISORY SERVICES, LLC

CRD#: 310203 / SEC#: 801-119560

RIA
Registered Investment Advisory firm - (9/30/2020 Approved)

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
New Mexico
(10/7/2024)
RR
Texas
(6/28/2024)
IAR
Texas
(7/19/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/27/2024
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/10/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 12/18/2023
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

PA
PARK AVENUE INVESTMENT ADVISORY, LLC
GUARDIAN ADVISORY SERVICES LLC | WESTPAC WEALTH PARTNERS | PARK AVENUE INVESTMENT ADVISORY, LLC | PARK AVENUE INVESTMENT ADVISORY | ONE WEALTH MANAGEMENT FINANCIAL AND INSURANCE SERVICES, INC. | GUARDIAN STRATEGIC ADVISORS | GUARDIAN ADVISORY SERVICES, LLC

CRD#: 310203 / SEC#: 801-119560

RIA
Registered Investment Advisory firm - (9/30/2020 Approved)
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Contact information

Main Address
10 Hudson Yards, New York, NY 10001
Mailing Address
Phone number
(800) 879-6934
Established
Firm type
Fiscal year end
# of Employees
87

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PARK AVENUE INVESTMENT ADVISORY WRAP BROCHURE (3/28/2025)
PARK AVENUE INVESTMENT ADVISORY FIRM BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts362
AUM (Assets Under Management)$ 98,287,453

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2022
Cover Page
Report

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 INVESTMENT ADVISORY, LLC

CRD#: 310203The Woodlands, TX 77380

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