JM
John J. Marcel
PARK AVENUE SECURITIES LLC
Rye Brook, NY 10573
Some features on this profile are disabled
CRD#: 819296
JM
Professional summary
John J Marcel, CFP®, who also goes by John Joseph Marcel, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Rye Brook, New York.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1976. John has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John Joseph Marcel
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. Madison Park Consultants, Inc.-Placement of term life insurance, Long Term Care and DI with carriers other than Guardian/Berkshire when appropriate, Start; 07/01/1997, Address: 800 Westchester Ave. Suite N-409 Rye Brook, NY 10573, Hrs per month - Tot/Bus: 10/6, Investment related, 2) Estate of Mary C. Marcel- co-executor, Start date: 03/25/2020, Address: n/a, 1 hour per month, Not investment related, No annual compensation
CRS (Client Relationship Summary) - RIA
Click below to view John J Marcel's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John J Marcel'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®
CFP®
Start date: 2000
Experience
Current
July 1, 2016 - Present
PARK AVENUE SECURITIES LLC
Office #1: 800 Westchester Avenue 4th Floor Suite N409, Rye Brook, NY 10573RIA
BD
CRD#: 46173
Rye Brook, NY
Current
March 30, 2007 - Present
PARK AVENUE SECURITIES LLC
Office #1: 800 Westchester Avenue 4th Floor Suite N409, Rye Brook, NY 10573RIA
BD
CRD#: 46173
Rye Brook, NY
Past
June 6, 2002 - March 29, 2007
1717 CAPITAL MANAGEMENT COMPANY
RIA
CRD#: 4082
TARRYTOWN, NY
Past
April 15, 1998 - March 29, 2007
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
TARRYTOWN, NY
Past
October 17, 1995 - March 27, 1998
NATHAN & LEWIS SECURITIES, INC.
BD
CRD#: 8503
NEW YORK, NY
Past
February 18, 1993 - May 13, 1997
THE PAUL REVERE VARIABLE ANNUITY INSURANCE COMPANY
BD
CRD#: 647
WORCESTER, MA
Past
January 29, 1987 - March 7, 1991
MONARCH SECURITIES, INC.
BD
CRD#: 2809
Past
March 9, 1976 - May 9, 1988
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
Past
March 9, 1976 - May 10, 1988
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
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
California(2/14/2012)
RR
Connecticut(3/30/2007)
IAR
Connecticut(7/15/2016)
RR
Florida(3/1/2021)
IAR
Florida(4/27/2021)
RR
Massachusetts(2/28/2012)
RR
New Jersey(6/13/2007)
IAR
New Jersey(7/1/2016)
RR
New York(3/30/2007)
IAR
New York(4/16/2021)
IAR
North Carolina(8/15/2017)
RR
North Carolina(8/19/2017)
RR
Pennsylvania(3/29/2019)
RR
South Carolina(10/1/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 3/5/1976
Registered Representative ExaminationPrincipal/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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
