CRD #46173 · FINRA BrokerCheck + SEC IAPD

Park Avenue Securities LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Park Avenue Securities LLC ranks #257 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #39 of 868 on the same disclosure sort used on the state browse page. Park Avenue Securities LLC carries 23 BrokerCheck disclosures across 1,317 branch offices - light load for a national firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
1,317
branch offices
23
disclosures
#257 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 46173 Park Avenue Securities LLC

Park Avenue Securities LLC · Grade B · 23 disc · 0.02/office · National firm

  • CRD 46173
  • GRADE B
  • DISC 23
  • REG 20
  • ARB 3
  • CIV 0
  • BRANCH 1,317
  • PER-OFF 0.02
  • RANK #257 of 20,055
  • BOOK National firm

Intensity peers

Nearest same-size peer: Edward Jones (0.02 disc/office)

Edward Jones0.02Commonwealth Financial …0.02Equitable Advisors, LLC0.02Park Avenue Securit… (this)0.02
Disclosures per office among national firm peers (lower is cleaner)

Park Avenue Securities LLC ranks #257 of 20,055 by disclosure count among graded broker-dealers; light load at 0.02 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

1,317 offices

FINRA: Large firm

Total disclosures

23 events

On FINRA BrokerCheck

Regulatory events

20 actions

87% of all disclosures

Disclosures per office

0.02 per office

23 ÷ 1,317 offices

Park Avenue Securities LLC vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 96% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). This entry sits in this band. 0–1: 159 disclosing firms (13%). Above this entry. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 20
Arbitrations 3
Civil Events 0
Total 23

Counts for Park Avenue Securities LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 20 Arbitration 3 Civil 0

Firm Details

Firm Size
Large
Scope
ACTIVE
Location
New York, NY
CRD Number
46173

Lower disclosures per office

Park Avenue Securities LLC in the heavier-disclosure third

Park Avenue Securities LLC carries 23 BrokerCheck disclosures across 1,317 branch offices - a heavier-third raw book among graded firms (#257 of 20,055). Regulator-initiated events are 87% of the book (20 regulatory / 3 arbitration / 0 civil).

Park Avenue Securities LLC runs 0.02 disclosures per branch office (cleaner than 96% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Park Avenue Securities LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

New York cohort · 2.63× state average

Park Avenue Securities LLC sits above the New York disclosure average

Park Avenue Securities LLC reports 23 BrokerCheck disclosures, 2.63× the New York average of 8.7 across 868 graded firms with a principal-office state on file.

In New York, 513 firms carry Grade A and 7 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the New York state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Park Avenue Securities LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Park Avenue Securities LLC ranks #257 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #39 of 868 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of B mean for Park Avenue Securities LLC?
A grade of B reflects Park Avenue Securities LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (national firm). It carries 23 total disclosures across 1,317 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Park Avenue Securities LLC have?
Park Avenue Securities LLC has 23 total FINRA disclosures, including 20 regulatory events, 3 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Park Avenue Securities LLC?
Park Avenue Securities LLC operates 1,317 branch offices and is classified by FINRA as a large firm, registered in NY (National firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Park Avenue Securities LLC's disciplinary record?
You can verify Park Avenue Securities LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 46173. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Park Avenue Securities LLC's 23 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Park Avenue Securities LLC because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Park Avenue Securities LLC carries 23 disclosures across 1,317 branch offices (about 0.02 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Park Avenue Securities LLC, both outside NY so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Edward Jones (MO) - 0.02 disclosures/office, nearest national firm peer to Park Avenue Securities LLC's 0.02
  • Commonwealth Financial Network (MA) - 0.02 disclosures/office, nearest national firm peer to Park Avenue Securities LLC's 0.02
  • Equitable Advisors, LLC (NY) - 0.02 disclosures/office, nearest national firm peer to Park Avenue Securities LLC's 0.02
  • Firms in NY - state roster that includes Park Avenue Securities LLC's registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like Park Avenue Securities LLC.
  • Reading BrokerCheck Reports - How Park Avenue Securities LLC's 0.02 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to Park Avenue Securities LLC.
  • Compare firms - put Park Avenue Securities LLC next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.