Smartwealth — MAITLAND, FL
Marketing BrandWe see ourselves as educators as well as financial advisors, ensuring that you understand your options and why we make the suggestions we do. We're empowering ... Operating under PARK AVENUE SECURITIES LLC (CRD #46173).
Why This Matters
A marketing brand is the name a financial advisor uses with clients. It is often different from the SEC-registered firm that is legally responsible for their conduct and your money.
When you search for “Smartwealth,” you won't find it on the SEC or FINRA websites. That's because the regulatory entity is PARK AVENUE SECURITIES LLC. Any disclosures, complaints, or regulatory actions are filed under the firm — not the brand.
Source: SEC Form ADV filings and FINRA BrokerCheck
The Relationship
PARK AVENUE SECURITIES LLC
CRD 46173 · Dual
Brand Information
Inherited Transparency Score
Marketing brands inherit the transparency score of their registered parent firm. This score is not specific to Smartwealth — it reflects the regulatory profile of PARK AVENUE SECURITIES LLC.
What This Means
The firm behind this brand has notable transparency gaps in their regulatory filings. We recommend reviewing the firm's fee structure and conflict disclosures before making decisions.
This places them in the 1th percentile of all scored firms.
This firm's regulatory filings leave significant questions unanswered. Review the full firm profile — including its fee structure and conflict disclosures — before making decisions.
See full score breakdownRegulatory Context
Regulatory oversight is under PARK AVENUE SECURITIES LLC
Any complaints, disclosures, or disciplinary actions are filed against the registered firm — not the marketing brand. Always check the firm's record, not just the brand name.
1 of 2,511 firm advisors use this brand
PARK AVENUE SECURITIES LLC has 2,511 total registered advisors. Only 1 operates under the Smartwealth brand name.
Verify before you trust
A polished brand name doesn't guarantee quality advice. Check the firm's full regulatory profile and each advisor's individual score before making decisions.
Advisors Under This Brand(1)
These advisors use the Smartwealth brand name with their clients. Each has their own individual transparency score based on their personal regulatory record.