Firm offers products that have performance-based fees; the managers of those products may be incentivized to take inappropriate risks to beat their performance benchmark. Will anyone that was involved be involved with my accounts in any capacity? Securities products/services and advisory services offered through Park Avenue Securities LLC, a registered broker-dealer and registered investment adviser. What does this mean? Through its affiliated advisors, Park Avenue works with tens of thousands of individual clients. All investing involves risk, including loss of principal. What does this mean? 722 277 556 722 610 833 722 777 All requests for updated information should also be reported directly to the SEC and/or FINRA. What does this mean? 333 333 389 583 277 333 277 277 Contact the advisor for individual fee structure details. [/PDF /Text /ImageC] 666 666 666 666 277 277 277 277 600 600 600 600 600 600 600 600 Online Terms & Conditions. 333 1000 666 333 1000 0 610 0 8425 Pulsar Place Suite 450, Columbus, Ohio 43240, 52 Forest Avenue, Paramus, New Jersey 07652, 1040 Broad Street 2nd Floor, Suite 202, Shrewsbury, New Jersey 07702, 160 Gould Street Suite 310, Needham, Massachusetts 02494, 29800 Telegraph Road, Southfield, Michigan 48034, 24500 Chagrin Blvd. 666 666 610 333 277 333 583 556 2023 Reink Media Group LLC. 556 556 333 500 277 556 500 722 600 600 600 600 600 600 600 600 /CapHeight 500 666 666 666 666 666 666 1000 722 /FontBBox [ 0 -220 1113 1005 ] 556 556 556 556 556 556 889 556 What does this mean and why is it important? 610 556 556 556 556 500 556 500 0t;S;nyh=Xr'8^M%Ul):%Kgh!f;@ $dBAdc?f 9:H7/R|xX^^9h=QVY8N3!riGaxA?S5 U9B|C8|n$olq;I 3TDyZ<4fBK95$ /Type /Font 1015 666 666 722 722 666 610 777 /Type /FontDescriptor ] /Encoding /WinAnsiEncoding /FontName /Arial 333 1000 666 333 1000 0 610 0 556 556 556 556 556 556 556 556 16 0 obj Average Retirement Savings: How Do You Compare? With your iPhone or iPad, you can access- Account balances and holdings- Transaction history- Order Status- Market information and quotes- Your securities watchlist- Equity order entry (if enabled by your financial institution)From your iPad, you can also access account documents such as statements, trade confirmation and tax documents.Please note:- Account access, trade execution and system response may be affected by a variety of factors, including trading volumes, market conditions, phone and computer networks.- Fees, markups or commissions may be charge on trades. /Descent 211 Any data inaccuracies, please contact our team. We look forward to sharing more about our plans in the coming months and believe this project will be a source of pride for our community.. /BaseFont /Arial /CapHeight 500 333 333 365 556 833 833 833 610 /Encoding /Identity-H /FontDescriptor 11 0 R Member FINRA, SIPC. /StemV 0 The land sold is situated adjacent to County Road 83 and Unbridled Avenue in the northeast corner of Canterburys campus. endobj 12 0 obj 14 0 obj Is your firm a broker-dealer or are you affiliated with one? 666 777 722 666 610 722 666 943 /ItalicAngle 0 Questions to ask /FontDescriptor 11 0 R Does your firm offer mutual funds that have 12b-1 fees? 600 600 600 600 600 600 600 600 Firm can legally elect to accept commissions for their investment advisory services. /Ascent 1005 Top Executive: Marianne Caswell: Recruiting Contact: Katie Martineau (860) 378-4078 E-mail Kevin Janus (610) 807-7406 E-mail: Marketing Contact: Rachael Hoffmann /FirstChar 32 Canterbury Park announced plans for Canterbury Commons in 2018, laying out its vision for the creation of a multi-use redevelopment of underutilized property in Shakopee, Minnesota that complements the Companys existing operations and creates an entertainment district where people will live, work, play and stay. A 28,000 square foot premium office building was completed by Greystone Construction in 2021, and a new brewery and restaurant are scheduled to open in early Summer 2023. When firms are dual-registered as broker-dealers, they may be subject to compensation-related conflicts of interest, including revenue sharing from mutual funds and the sale of proprietary investment products. /Subtype /Type0 600 600 600 600 600 600 600 600 Questions to ask endobj /Flags 35 277 333 556 556 556 556 259 556 I'm confident her experience will bring outstanding value to our financial advisors and their clients.". Guardian Life Insurance Company of America. Securities products and advisory services offered through Park Avenue Securities LLC (PAS), member FINRA, SIPC. stream Questions to ask Advisors at this firm may be affiliated with other firms in the financial services industry. 0 222 222 333 333 350 556 1000 Highlights, big interviews, and more from the Milken Institute Global Conference. /Name /F2 - Account balances and holdings. While each of these companies provides the platform behind your financial professionalto help execute on your strategy, you benefit from the independence and entrepreneurialism we afford your financial professional at Park AvenueSecurities. /StemV 0 >> With your iPhone or iPad, you can access. PAS is a wholly-owned subsidiary of Guardian. The headquarters of Park Avenue Securities is 10 Hudson Yards New York, NY 10001. 131 [457 ] >> /BaseFont /Arial 600 600 600 600 600 600 600 600 610 610 610 610 610 556 610 556 666 666 610 277 277 277 469 556 >> Firm or related person receives soft-dollar benefits in connection with client securities transactions. /FirstChar 32 Construction of 19,000-Capacity Amphitheater Expected to Begin in Spring 2023. 277 277 354 556 556 889 666 190 556 222 222 500 222 833 556 556 /Type /Outlines This translates to a commitment of conservative, long-term thinking rather than short-term profits. /Flags 38 /Flags 32 Investments can be both long-term (held for a year or longer) or short-term (held for less than a year) in nature, depending on market conditions and your needs. ?Ia55zA}cyh f\V7`>Oflhe}506!tbO=,/*e WxAAR << 1HX{2rdL&)8~Iad)H&pd2 DZIn?ht%KZ[ltHxW:Y|g1{#n]`0e7C!yF^R_kyiFXldt %PDF-1.5 >> Data obtained from U.S. Securities and Exchange Commission. Our searchable database of U.S.-based financial advisors includes more than 17,000 firms across the country. 600 600 600 600 600 600 600 0 Anytime, anywhere that is the power of mobility. /LastChar 255 Ready to Talk to Someone? 610 277 277 556 277 889 610 610 /LastChar 255 You can contact Park Avenue Securities by calling (888) 600-4667. /Type /Font For these forward-looking statements, the Company claims the protection of the safe harbor for forward-looking statements contained in federal securities laws. )NmwUg=%kKtA e26\+.aT)xrlPJc*|O|3F\Ju|_fZ"Msv!lU[ANC>PO$FKbq!-X^VP7m QR?LLR{KWUxH$Kdvy/F$J+K qK\ ))k`JOq=?Ud7"Y)pk ))rve^Q k]:jPYf{4 s>AJ_X\{A;BsENv@]jK-ELsOmk nhm%+|~`} PK OaB`|R}/-p%Bo4&v{XPWt+)3X-Ph";`QyLA{&4Na-4])7 Data obtained from U.S. Securities and Exchange Commission as of 12/14/2022. >> 9 0 obj Lackluster Action in Front of Big Week of Earnings. 4 0 obj Investor.com relies on regulatory data from the SEC to rate and review financial advisor firms. The Company describes these risks and uncertainties in its Annual Report on Form 10-K filed with the Securities and Exchange Commission (the Commission) and subsequently filed Quarterly Reports on Form 10-Q and Current Reports on Form 8-K. 556 556 556 556 556 556 556 556 John Suckey of Park Avenue Securities - Law Offices of Robert Wayne Pearce /LastChar 255 /Flags 32 >> 556 556 556 556 556 556 556 548 1015 666 666 722 722 666 610 777 1 [0 ] Whether its building a long-term investment strategy for retirement, saving for college,or capital preservation, at Park Avenue Securities, we provide financial professionalswith the products and tools to help you step forward to take charge of your financial future and achieve financial success. 20 0 obj 975 722 722 722 722 666 610 777 >> Contact. The SEC or CFTC has previously found the firm or an advisory affiliate responsible for having an investment-related business have its authorization to do business denied, suspended, or revoked. What does this mean? 9~s&@le'H.xlQH;}euS5xQo7qJAWt3y"C^ +0Rr H#.JHK i:#G7$ne~u h1zd}:= wRq(V#a.L#6F;S ?z~8A^Y/i@7 w5ni{\wl'[cDIgv)9hOOWw4Ych@>9`A37Z0Fw^uDc{aUCw )Vu ] execution and delivery by Mexico of the Authorization setting forth the specific terms of the . Caswell joined Guardian Life and Park Avenue Securities in 2013 as Head of Strategic Initiatives in Individual Markets Administration & Wealth Management. Firm or a related person recommends the purchase of securities where the firm or a related person serves as an underwriter or general or managing partner. 777 722 722 722 722 666 666 610 556 0 222 556 333 1000 556 556 /FontName /Arial Firm or an advisory affiliate has previously had an investment-related civil action dismissed against them following a cash settlement in court. 10 Hudson Yards, New York, NY1-888-600-4667 Website. 11 0 obj A regulatory agency other than the SEC or CFTC has previously found the firm or an advisory affiliate responsible for having an investment-related business have its authorization to do business denied, suspended, or revoked. Financial professionals should disclose all positions they hold (or have sold short) that they will also be recommending to their clients. BrokerCheck - Find a broker, investment or financial advisor /Encoding /WinAnsiEncoding 333 1000 500 333 943 0 500 666 endobj i\^HgR;;Da[Q:7v#\`PBAh:yC"qI'Dk!Dtb-wBKD/h Xvbb5,KaI-KtOUL Mp}' %v h/ Today,the firm exists as a wholly owned subsidiary of The Guardian Life Insurance Company of America, a life insurance and annuity company. /Subtype /Type0 A regulatory agency has previously denied, suspended, or revoked the firms or an advisory affiliates registration or license or otherwise restricted their activities. Also, such filings may not represent all regulatory or legal actions against a firm or 333 556 556 500 556 556 277 556 333 736 370 556 583 0 736 552 /BaseFont /Arial,Bold Here, advisors use Park Avenue's offerings within their independent practices. 2 _nR=e:Gr$-d ]C$ts&7 }(&.C[ 6Xr8K;E9yCgN#*s_5@>)`me& Rz8vcJ00gcV16zl6`:lID-MxXz4lPRGxZ*;qZg|'xn X f"y6A9iXi~I #q_i'PMNE}E)1\sN/Gg{]wDdpL}HH#" W? Contact. 333 736 370 556 583 0 736 552 A federal regulatory agency, a state regulatory agency, or a foreign financial regulatory authority other than the SEC or CFTC has found firm or an advisory affiliate to have been involved in a violation of investment-related statutes or regulations. /FontBBox [ -665 -325 2000 1040 ] Overview. I would like to receive free Advisor Practice Management Guides, the U.S. News Advisor Weekly newsletter, and occasional updates regarding the U.S. News Advisor Directory. We do not manage client funds or hold custody of assets, we help users connect with relevant financial advisors. << /FontDescriptor 20 0 R 1 0 obj /Type /FontDescriptor /Widths [ According toits SEC-filed Form ADV, Park Avenue Securities has26disclosures on its record. 600 600 600 600 600 600 600 600 In this role, she is responsible for the day-to-day operation of all facets of the business, including sales, service, underwriting, technology, and finance. '*){!sP/pRRFa7b]&1] W?C/&>|1\Vw,M?B^pFB73=K*D-QDobo/VKx@Zvw )-}] C*ADb)Oympv Terms of Use | Disclaimers | Privacy Policy. /Count 31 /First 224 0 R /Last 254 0 R See Advisors At This Firm. 333 333 389 583 277 333 277 277 endobj /FirstChar 32 600 600 600 600 600 600 600 600 Your advisor will analyze your personal situation, taking into account factors such as your risk tolerance, time horizon and financial goals, before making recommendations. By providing this content, Park Avenue Securities LLC is not undertaking to provide investment advice for any specific individual or situation, or to otherwise act in a fiduciary capacity. endobj 556 556 277 277 583 583 583 556 333 333 365 556 833 833 833 610 0 277 277 500 500 350 556 1000 600 0 600 600 600 600 600 600 610 556 556 556 556 500 556 500 This review was produced by SmartAsset based on publicly available information. 333 333 365 556 833 833 833 610 Please contact your financial institution for details.IMPORTANT INFORMATION FOR USERS To use Park Avenue Securities Mobile, you must be a client with an account at Park Avenue Securities and have access to your account information via the Park Avenue Securities website. 556 556 556 556 277 277 277 277 /CapHeight 500 Find Out More About Park Avenue Securitiesor follow us on LinkedIn. File A Claim To Recover Your Investment Losses At Park Avenue Securities Due To John Suckey. /Type /Font How does your firm mitigate conflicts that arise from managing accounts with differing fee structures? 399 548 333 333 333 576 537 333 endobj She led a broad range of areas, including FR Learning and Development; The Living Balance Sheet, Guardian's core philosophy and sales system; Diverse Field & Client Markets; and Supervision & Business Risk. Park Avenue Securities is a registered broker-dealer, investment adviser and a direct, wholly-owned subsidiary of Guardian Life. 666 777 722 666 610 722 666 943 5 0 obj /ItalicAngle 0 >> /LastChar 255 >> >> Questions to ask 1 BNY Mellon is the parent company of Pershing. 610 610 389 556 333 610 556 777 /W [ As a result, unlike hedge funds, there is no historical performance for any financial advisory firm. Caswell also serves as the President of Guardian's wholly owned subsidiary, Innovative Underwriters (IU), a full-service brokerage general agency committed to helping FRs serve their clients with access to non-proprietary products. /Ascent 905 /FontName /Arial 333 333 365 556 833 833 833 610 /Ordering (tu-) /Descent -219 What does this mean? 277 277 354 556 556 889 666 190 The stock market didn't experience much up or down price action this week. 277 333 556 556 556 556 259 556 Why doesnt your firm use a secure website? << Contact the U.S. News Advisor Finder. /Name /F4 endobj /CIDToGIDMap /Identity 333 333 389 583 277 333 277 277 /Descent 211 << She is licensed to sell life and health products, and holds Series 7, 66, and 24 licenses. 333 333 389 583 277 333 277 277 /FontName /Arial Firm or an advisory affiliate has previously been fined or ordered to cease and desist activity by the SEC or CFTC. Which securities does your firm trade for itself that it will also be recommending to me? 13 0 obj /ItalicAngle 0 stream C2V%9 hS:'Z&MRo#1cy$p,n'zEhvN3U^D)%[[e>8 That is the power of Park Avenue Securities Mobile. Office: 212-701-7900. /StemV 0 LearnMore. There are no guarantees that working with an adviser will yield positive returns. 722 722 777 777 777 777 777 583 /BaseFont /Arial /FontName /DDACTR+Symbol 399 548 333 333 333 576 556 333 /LastChar 255 Firm offers mutual funds that carry 12b-1 fees, which increases the total annual cost of owning the fund (with no guarantee of higher returns). << Please contact a financial representative for guidance and information specific to your individual situation. << What conflicts do I need to be made aware of? 333 736 370 556 583 0 736 552 endobj /ItalicAngle 0 /ItalicAngle 0 /Name /F5 500 500 500 333 259 333 583 0 << The stock market mostly declined on the week. The major indices all registered gains compared to last week's closing levels, but concerns about inflation and Fed policy kept a limit on index performance. /Descent 211 endobj As a result, they may be incentivized to recommend products from these affiliates due to extra commissions or compensation earned. 14 0 obj Please read it carefully before investing or sending money. 556 556 556 556 556 556 556 556 This could also limit the number and diversity of investment options available and may impact their transferability. While this may seem like an attractive compensation structure to ensure your advisor is making your money work for you, often, the managers of those products are incentivized to take inappropriate risks to beat their performance benchmark.

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