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Allen Boggs

Head of Product & Supervision at Park Avenue Securities

Broker registration; no current adviser registrationSEC record checked 18 October 2026

1
Past adviser firms
7
Licensing exams

IAPD record retrieved 18 October 2026SEC record

Allen Boggs is Head of Product & Supervision of Park Avenue Securities LLC, a New York investment adviser managing $19.6B. Allen Boggs has a current broker registration and no current investment-adviser registration and has passed 7 licensing exams.

Role at Park Avenue Securities

Title on Schedule A
Head of Product & Supervision
Control
Allen Boggs is a control person of Park Avenue Securities.
Ownership
An individual ownership band is not available in the source record.
Tenure
Allen Boggs has held the filed role since September 2014.

The firm

Park Avenue Securities LLC
New York, NY

Form ADV filed 8 September 2026

$19.6B AUM82,118 clients2,054 advisers26 offices

Career on record

Firms and exams, newest first
  1. Passed Series 52TO · 2023
  2. Passed SIE · 2018
  3. Passed Series 4 · 2010
  4. Passed Series 53 · 2008
  5. North Fork Financial Advisors LLC
    – · under a year
    Melville, NY · Adviser representative · Firm CRD 127236
  6. Passed Series 24 · 2006
  7. Passed Series 7 and Series 66 · 2004

Registrations and exams

Broker registration; no current adviser registration. Allen Boggs has passed 7 qualifying exams.

Examinations

Series 6624 March 2004
Name
Uniform Combined State Law Examination
Series 412 November 2010
Name
Registered Options Principal Examination
Series 5319 April 2008
Name
Municipal Securities Principal Examination
Series 2421 September 2006
Name
General Securities Principal Examination
Series 52TO2 January 2023
Name
Municipal Securities Representative Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 72 March 2004
Name
General Securities Representative Examination

Individual record

Full name
Allen Warren Boggs
CRD
4751363
Firm
Park Avenue Securities LLC
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Allen Boggs work?

Allen Boggs has been Head of Product & Supervision of Park Avenue Securities LLC since September 2014, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 8 September 2026

Does Allen Boggs have a current investment-adviser registration?

Allen Boggs has a current broker registration and no current investment-adviser registration, as of 18 October 2026.

Source: IAPD individual record, checked 18 October 2026

What exams has Allen Boggs passed?

Allen Boggs has passed 7 licensing exams: the Series 7, Series 66, Series 24, Series 53, Series 4, SIE and Series 52TO. The earliest, the Series 7, was passed in March 2004.

Source: IAPD individual record, checked 18 October 2026

Where was Allen Boggs previously registered as an investment adviser?

Allen Boggs has past investment-adviser registrations through North Fork Financial Advisors LLC, May 2007 to October 2007, across 1 firm.

Source: IAPD individual record, checked 18 October 2026

Leadership at Park Avenue Securities

Sources

  1. IAPD individual record, CRD 4751363. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Park Avenue Securities LLC, filed 8 September 2026. Title, control and ownership bands.

Retrieved 18 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Allen Boggs or Park Avenue Securities LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.