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RIA / WealthAdvisorChartered Financial Analystdual registered (broker-dealer)19 years in industry

Mark Lewis Kaufman

Advisor at PARK AVENUE SECURITIES LLC

Milford, CT | FARMINGTON, CT

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Search this name across graphsid dfx:ria:82c8b333-770a-95cc-ec9b-bc2ff4f06f26

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jan 3, 2007 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: PARK AVENUE SECURITIES LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 3, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Designations: Chartered Financial Analyst
Exams: S63|S65|S66
First exam: Nov 18, 2013
First registration: Jan 3, 2007
Dual registered: yes, broker-dealer
IAPD individual key: 2057965

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
PARK AVENUE SECURITIES LLC	Bd affiliated wealth	Mar 12, 2024	n/a	yes	FARMINGTON, CT\|Milford, CT	Current employment
SENTINEL ASSET MANAGEMENT, LLC	State registered	Mar 8, 2023	Dec 11, 2023	no	WALLINGFORD, CT	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	Dec 12, 2013	Sep 12, 2014	no	SHELTON, CT	Previous registration
MLK INVESTMENT MANAGEMENT, LLC	n/a	Jan 3, 2007	Sep 2, 2009	no	MILFORD, CT	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
SENTINEL ASSET MANAGEMENT, LLC	PARK AVENUE SECURITIES LLC	Dec 11, 2023	Mar 12, 2024	92	Firm change	Other
PRUCO SECURITIES, LLC	SENTINEL ASSET MANAGEMENT, LLC	Sep 12, 2014	Mar 8, 2023	3,099	Firm change after gap	Other
MLK INVESTMENT MANAGEMENT, LLC	PRUCO SECURITIES, LLC	Sep 2, 2009	Dec 12, 2013	1,562	Firm change after gap	Other

Relationships

Registered with (4)

→ PARK AVENUE SECURITIES LLCRegistered adviserregistration: current employment
Mar 12, 2024 to presentfactForm ADV
→ SENTINEL ASSET MANAGEMENT, LLCRegistered adviserregistration: previous registration
Mar 8, 2023 to Dec 11, 2023factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Dec 12, 2013 to Sep 12, 2014factForm ADV
→ MLK INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jan 3, 2007 to Sep 2, 2009factForm ADV

Dated events

Occurred
Dec 11, 2023
Advisor changed firm
Mark Lewis Kaufman left Sentinel Asset Management, Llc for Park Avenue Securities Llc (registered 2024-03-12)
Form ADVobserved 4 days ago