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Joshua Hergan

General Counsel at Park Avenue Securities

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

0
Past adviser firms
6
Licensing exams

IAPD record retrieved 18 October 2026SEC record

Joshua Hergan is General Counsel of Park Avenue Securities LLC, a New York investment adviser managing $19.6B. Joshua Hergan has a current broker registration and no current investment-adviser registration and has passed 6 licensing exams.

Role at Park Avenue Securities

Title on Schedule A
General Counsel
Control
Joshua Hergan is not a control person of Park Avenue Securities.
Ownership
An individual ownership band is not available in the source record.
Tenure
Joshua Hergan has held the filed role since October 2019.

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 14 · 2023
  2. Passed Series 7, Series 24 and SIE · 2018
  3. Passed Series 6 and Series 63 · 2002

Registrations and exams

Broker registration; no current adviser registration. Joshua Hergan has passed 6 qualifying exams.

Examinations

Series 6311 October 2002
Name
Uniform Securities Agent State Law Examination
Series 142 January 2023
Name
Compliance Officer Examination
Series 2425 May 2018
Name
General Securities Principal Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 730 March 2018
Name
General Securities Representative Examination
Series 623 September 2002
Name
Investment Company Products/Variable Contracts Representative Examination

Individual record

Full name
Joshua Neil Hergan
CRD
4572643
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 Joshua Hergan work?

Joshua Hergan has been General Counsel of Park Avenue Securities LLC since October 2019.

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

Does Joshua Hergan have a current investment-adviser registration?

Joshua Hergan 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 Joshua Hergan passed?

Joshua Hergan has passed 6 licensing exams: the Series 6, Series 63, Series 7, Series 24, SIE and Series 14. The earliest, the Series 6, was passed in September 2002.

Source: IAPD individual record, checked 18 October 2026

Leadership at Park Avenue Securities

Sources

  1. IAPD individual record, CRD 4572643. 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 Joshua Hergan 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.