David H. Sonnenberg
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David H Sonnenberg, who also goes by David Howard Sonnenberg, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1977. David had worked at 16 firms and has passed the Series 63, SIE, Series 6 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 2009 - October 3, 2019
PARK AVENUE SECURITIES LLC
March 18, 2008 - October 1, 2009
WOODBURY FINANCIAL SERVICES, INC.
August 23, 2005 - October 1, 2009
WOODBURY FINANCIAL SERVICES, INC.
January 21, 2004 - September 7, 2005
INVEST FINANCIAL CORPORATION
October 4, 2001 - January 20, 2004
NEW ENGLAND SECURITIES
May 14, 2001 - October 26, 2001
MAIN STREET MANAGEMENT COMPANY
July 25, 1997 - April 20, 2001
NYLIFE SECURITIES LLC
April 3, 1997 - July 16, 1997
WALNUT STREET SECURITIES, INC.
January 12, 1996 - February 21, 1997
LINCOLN FINANCIAL DISTRIBUTORS, INC.
April 7, 1992 - February 8, 1996
PRINCIPAL SECURITIES, INC.
July 6, 1990 - December 6, 1991
MML INVESTORS SERVICES, LLC
March 23, 1990 - July 11, 1990
OPPENHEIMER & CO. INC.
November 1, 1989 - March 23, 1990
B.C. CHRISTOPHER SECURITIES CO.
November 19, 1986 - August 11, 1989
VP DISTRIBUTORS LLC
May 23, 1984 - October 29, 1986
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 7, 1978 - August 23, 1978
HOME LIFE INSURANCE COMPANY
January 3, 1977 - June 25, 1977
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
Primary Firm SEC Registration
PARK AVENUE SECURITIES LLC
CRD#: 46173 / SEC#: 801-58108, 8-51324
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 12/20/1976
Registered Representative ExaminationCurrent Firm
PARK AVENUE SECURITIES LLC
CRD#: 46173 / SEC#: 801-58108, 8-51324
Contact information
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.
