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MK
CFA
MK
CFA

Mark Kaufman

Park Avenue Securities LLC
21 Years of Experience
Farmington, CT
2 DisclosuresBroker
View SEC Summary
View SEC Summary

Mark Kaufman is a CFA-designated registered investment advisor at Park Avenue Securities LLC, based in Farmington, CT, with 21 years of industry experience. Mark 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

197 Scott Swamp Rd., Farmington, CT, 06032

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History

Regulatory History (2)
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.
Judgment / Lien
April 2016
Employment Separation After Allegations
September 2014
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Mark is involved with Curtain Transportation, providing special needs student transportation since January 2024. This takes about a quarter of his time, with some hours occurring during securities trading hours.

Employment History
Current Registrations
Park Avenue Securities LLCBroker
April 2024 - Present · 2 yrs 6 mos
Park Avenue Securities LLC
April 2024 - Present · 2 yrs 6 mos
Park Avenue Securities LLC
March 2024 - Present · 2 yrs 7 mos
Previous Registrations
Sentinel Asset Management, LLC
March 2023 - December 2023 · 9 mos
Samuel a Ramirez & CO., INC.Broker
June 2017 - December 2018 · 1 yr 6 mos
Lps Capital LLCBroker
April 2015 - June 2017 · 2 yrs 2 mos
Bonwick Capital Partners, LLCBroker
February 2015 - April 2015 · 2 mos
Prudential Financial Planning Services
December 2013 - September 2014 · 9 mos
Pruco Securities, LLC.Broker
January 2013 - September 2014 · 1 yr 8 mos
Rafferty Capital Markets, LLCBroker
April 2009 - January 2012 · 2 yrs 9 mos
Source Capital Group, INC.Broker
January 2009 - April 2009 · 3 mos
Mlk Investment Management, LLC
January 2007 - September 2009 · 2 yrs 8 mos
Lazard Capital Markets LLCBroker
May 2005 - August 2005 · 3 mos
Lazard Freres & CO. LLCBroker
March 2003 - May 2005 · 2 yrs 2 mos
RBC Dominion Securities CorporationBroker
November 2000 - March 2003 · 2 yrs 4 mos
Amroc Securities LLCBroker
June 1999 - November 2000 · 1 yr 5 mos
Oppenheimer & CO., INC.Broker
January 1991 - July 1992 · 1 yr 6 mos
State Registrations3 states
CACTTX
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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