Hubert B. Grabau
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.
Hubert Beckwith Grabau, who also goes by Beck Grabau, was a registered financial professional .
Hubert is a previously registered financial professional and started their career in finance in 1979. Hubert had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 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
July 11, 2007 - October 10, 2017
PARK AVENUE SECURITIES LLC
June 8, 2007 - October 10, 2017
PARK AVENUE SECURITIES LLC
August 4, 2003 - April 30, 2007
FOOTHILL SECURITIES, INC.
August 4, 2003 - April 30, 2007
FOOTHILL SECURITIES, INC.
February 20, 2003 - October 1, 2004
INTEGRATED FINANCIAL & INSURANCE SERVICES
December 22, 1999 - July 18, 2003
FOOTHILL SECURITIES, INC.
October 21, 1999 - July 18, 2003
FOOTHILL SECURITIES, INC.
September 10, 1999 - November 17, 1999
PARK AVENUE SECURITIES LLC
March 14, 1988 - August 18, 1999
WALNUT STREET SECURITIES, INC.
April 15, 1987 - March 22, 1988
CERTIFIED EQUITIES INCORPORATED
April 11, 1986 - March 30, 1987
STANFORD INVESTMENT GROUP, INC.
November 24, 1982 - April 23, 1986
BMI FINANCIAL GROUP
September 8, 1982 - November 18, 1982
PROTECTED INVESTORS OF AMERICA
October 4, 1979 - October 19, 1982
CALIFORNIA HARTLAND SECURITIES
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: 9/25/1979
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.
