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Richard Woody

Park Avenue Securities LLC
38 Years of Experience
Overland Park, KS
1 DisclosureBrokerSells Insurance
View SEC Summary
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Richard Woody is a registered investment advisor at Park Avenue Securities LLC, based in Overland Park, KS, with 38 years of industry experience. Richard is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Charitable Giving, Corporate Executives, Education Planning, and 7 more. Their firm serves 82,118 clients with $20B in assets under management.

Park Avenue Securities LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1914 advisors
Number of Clients
82,118 clients
Average Client Portfolio
$238K average
Assets Under Management
$19.6B

Fee Structure

Minimum Investment:$5K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $500K2.05%
$500K - $1000K2.00%
$1.0M - $2.0M1.95%
$2M+1.90%

Schedule reflects the maximum client fee for the Park Avenue Portfolio Select program. Other wrap fee and third-party programs have varying fee schedules with advisor fees ranging from 0.50% to 1.75% plus platform and manager fees.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

9401 Indian Creek Parkway, Suite 670, Overland Park, KS, 66210

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
May 2005
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Richard is the owner of Cressup Lake Duck Club Inc., a private duck hunting club, dedicating minimal time to it. He also works full-time for The Woody Financial Group, an agency of The Guardian Life Insurance Company.

Employment History
Current Registrations
Park Avenue Securities LLC
February 2007 - Present · 19 yrs 8 mos
Park Avenue Securities LLC
January 2007 - Present · 19 yrs 9 mos
Park Avenue Securities LLCBroker
January 2007 - Present · 19 yrs 9 mos
Previous Registrations
New England Securities Corporation
November 2005 - December 2006 · 1 yr 1 mo
New England SecuritiesBroker
October 2005 - December 2006 · 1 yr 2 mos
Northwestern Mutual Investment Services,llc
October 2002 - June 2005 · 2 yrs 8 mos
Northwestern Mutual Investment Services, LLCBroker
January 1994 - June 2005 · 11 yrs 5 mos
Robert W. Baird & CO. IncorporatedBroker
January 1994 - January 2002 · 8 yrs
Equico Securities, INC.Broker
July 1983 - August 1989 · 6 yrs 1 mo
The Equitable Life Assurance Society of the United StatesBroker
July 1983 - August 1989 · 6 yrs 1 mo
State Registrations6 states
IAILKSMONEOH
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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