DG
Douglas J. Gribin
PARK AVENUE SECURITIES LLC
Fort Myers, FL 33912
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CRD#: 801343
DG
Professional summary
Douglas J Gribin, who also goes by Douglas Joseph Gribin, is a registered financial professional currently at PARK AVENUE SECURITIES LLC located in Fort Myers, Florida.
Douglas is registered as a RR (Registered Representative) and started their career in finance in 1974. Douglas has worked at 6 firms and has passed the Series 66, Series 6TO, SIE, Series 7, Series 1, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Douglas Joseph Gribin
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. FOOTSY SOUTH, INC. (S CORP)
Condo rental
Start: 01/01/2007
Address: 14021 Metropolis Ave Fort Myers Florida
0 hrs per month
Investment related
2. Temple Beth El Legacy
Development of legacy gifts to the temple. These gifts are designate in the event of death.
Start: 05/10/2010
Address: Temple Beth El, Winkler Rd., Fort Myers, Florida
Hrs per month - Tot/Bus: 2/1
Not investment related
3. Success Through Mentoring
Board member for Success Through Mentoring Group
Start: 03/26/2018
Address: 14021 Metropolis Ave
Fort Myers, Florida 3391
1 non bus hr per month
Not investment related
4. HSJ Pulse therapy, LLC
Managing Member for animal therapy service. No active roll. Owner of LLC.
Start: 02/22/2018
Address: 14270 Royal Harbour Ct
Unit 320; Ft. Myers, FL 33908
0 hrs per month
Not investment related
5) Paramount Board of Directors-Condominium board Treasurer, no money or funds will be handled
Start: 02/01/2021
Address: 14270 Royal Harbour Ct Unit 320; Ft. Myers, FL 33908
4 hours per month, 2 during securities trading hours
Not investment related
No annual compensation
CRS (Client Relationship Summary) - BD
Click below to view Douglas J Gribin'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
May 3, 1999 - Present
PARK AVENUE SECURITIES LLC
Office #1: 14021 Metropolis Ave., Fort Myers, FL 33912RIA
BD
CRD#: 46173
Fort Myers, FL
Past
April 30, 2001 - October 22, 2024
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
FORT MYERS, FL
Past
September 6, 1990 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
January 2, 1988 - June 10, 1988
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Past
October 16, 1984 - March 17, 1987
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Past
December 5, 1983 - September 7, 1990
W.D.R. EQUITY RESOURCES, INC.
BD
CRD#: 14241
Past
July 25, 1983 - January 2, 1988
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 2682
Past
December 2, 1974 - October 25, 1982
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
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.
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(5/3/1999)
RR
New Jersey(5/3/1999)
RR
New York(5/3/1999)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 11/21/1974
Registered Representative ExaminationPrincipal/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.
Company Information
PARK AVENUE SECURITIES LLC
CRD#: 46173Fort Myers, FL 33912TRUST BUT VERIFY
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