Senior Manager, PAS Compliance

0001071640-18-000009.txt : 20180430 0001071640-18-000009.hdr.sgml : 20180430 20180430082811 ACCESSION NUMBER: 0001071640-18-000009 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180331 FILED AS OF DATE: 20180430 DATE AS OF CHANGE: 20180430 EFFECTIVENESS DATE: 20180430 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PARK AVENUE SECURITIES LLC CENTRAL INDEX KEY: 0001071640 IRS NUMBER: 134023176 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-16353 FILM NUMBER: 18786800 BUSINESS ADDRESS: STREET 1: 7 HANOVER SQUARE, H4C CITY: NEW YORK STATE: NY ZIP: 10004 BUSINESS PHONE: 212-919-2259 MAIL ADDRESS: STREET 1: 7 HANOVER SQUARE, H4C CITY: NEW YORK STATE: NY ZIP: 10004 FORMER COMPANY: FORMER CONFORMED NAME: PARK AVENUE SECURITIES LLC /BD DATE OF NAME CHANGE: 20020129 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001071640 XXXXXXXX 03-31-2018 03-31-2018 PARK AVENUE SECURITIES LLC

7 HANOVER SQUARE, H4C NEW YORK NY 10004

13F HOLDINGS REPORT 028-16353 N Thomas J. Bellaro Senior Manager, PAS Compliance 212-919-3652 Thomas J. Bellaro New York NY 04-30-2018 0 173 451203 false INFORMATION TABLE 2 13f2018Q1readytofile.xml PHOTRONICS INC SR NT CONV NOTE 719405AK8 11 11000 SH SOLE 0 0 0 BANCO SANTANDER SA ISIN US05964H1059 ADR 05964H105 67 10394 SH SOLE 0 0 0 AMBEV S A SPONSORED ISIN US02319V1035 ADR 02319V103 72 10143 SH SOLE 0 0 0 VEREIT INC COM 92339V100 73 10761 SH SOLE 0 0 0 SUMITOMO MITSUI FINL GROUP INC SPONS ISIN US86562M2098 ADR 86562M209 97 11685 SH SOLE 0 0 0 ALPINE GLOBAL PREMIER PPTYS FD COM SHS OF BEN INT COM 02083A103 107 17231 SH SOLE 0 0 0 WELLS FARGO GLOBAL DIVID OPPORTUNITY FD ISIN US94987C1036 COM 94987C103 114 20152 SH SOLE 0 0 0 ICICI BK LTD ISIN US45104G1040 ADR 45104G104 120 14667 SH SOLE 0 0 0 DEUTSCHE STRATEGIC MUN INCOME TR COM 25159F102 151 13738 SH SOLE 0 0 0 DUFF & PHELPS GLOBAL UTIL INCOME FD INC COM 26433C105 154 11195 SH SOLE 0 0 0 PIMCO MUN INCOME FD COM 72200R107 154 12279 SH SOLE 0 0 0 VOYA GLOBAL ADVANTAGE & PREM OPPORTUNITY FD COM 92912R104 155 14609 SH SOLE 0 0 0 WESTERN ASSET INCOME FD II INC COM 95766J102 156 23780 SH SOLE 0 0 0 INVESCO HIGH INCOME TR II COM 46131F101 156 11331 SH SOLE 0 0 0 CREDIT SUISSE HIGH YIELD BD FD SH BEN INT COM 22544F103 157 58773 SH SOLE 0 0 0 ALLIANCEBERNSTEIN GLOBAL HIGH INCOME FD INC COM 01879R106 157 13194 SH SOLE 0 0 0 PIONEER HIGH INCOME TR COM 72369H106 157 16901 SH SOLE 0 0 0 EATON VANCE MUN INCOME TR SH BEN INT COM 27826U108 158 13519 SH SOLE 0 0 0 EATON VANCE MUN BD FD II COM 27827K109 158 13506 SH SOLE 0 0 0 EATON VANCE LTD DURATION INCOME FD COM 27828H105 158 12144 SH SOLE 0 0 0 BLACKROCK LTD DURATION INCOME TR SHS COM 09249W101 158 10522 SH SOLE 0 0 0 FEDERATED PREMIER MUN INCOME FD COM 31423P108 158 11793 SH SOLE 0 0 0 NUVEEN SELECT MATURITY MUNICIPAL FUND SHS BEN INT COM 67061T101 159 16536 SH SOLE 0 0 0 NUVEEN HIGH INCOME 2020 TARGET TERM FD COM 67075L102 160 16464 SH SOLE 0 0 0 BLACKROCK MUN BD TR COM 09249H104 160 11172 SH SOLE 0 0 0 BLACKROCK MUN INCOME TR II COM 09249N101 160 11963 SH SOLE 0 0 0 DREYFUS MUN INCOME INC COM 26201R102 160 19910 SH SOLE 0 0 0 NUVEEN HIGH INCOME DECEMBER 2018 TARGET TERM FD COM 67075P103 163 16599 SH SOLE 0 0 0 DEUTSCHE STRATEGIC INCOME TR SHS COM 25160F109 163 13325 SH SOLE 0 0 0 DEUTSCHE MUN INCOME TR COM 25160C106 163 14536 SH SOLE 0 0 0 PIONEER FLOATING RATE TR COM 72369J102 164 14119 SH SOLE 0 0 0 BLACKROCK STRATEGIC MUN TR COM 09248T109 167 13144 SH SOLE 0 0 0 EATON VANCE SR FLTNG RATE TR COM 27828Q105 167 11300 SH SOLE 0 0 0 VOYA PRIME RATE TR SH BEN INT COM 92913A100 168 32485 SH SOLE 0 0 0 ALPINE GLOBAL DYNAMIC DIVID FD COM 02082E205 173 16700 SH SOLE 0 0 0 EATON VANCE SR INCOME TR SH BEN INT COM 27826S103 173 25655 SH SOLE 0 0 0 BLACKROCK CORE BD TR SHS BEN INT COM 09249E101 176 13445 SH SOLE 0 0 0 UBS AG LONDON BRH ETRACS ALERIAN MLP INDEX ETN ETF 90267B682 181 12135 SH SOLE 0 0 0 BLACKROCK MUN INCOME TR SH BEN INT COM 09248F109 190 14767 SH SOLE 0 0 0 WESTERN ASSET GLOBAL HIGH INCOME FD INC ETF 95766B109 194 20567 SH SOLE 0 0 0 GLOBAL X FDS GLOBAL X MLP ETF 37950E473 199 23682 SH SOLE 0 0 0 BLACKROCK MUNI INTER DURATION FD INC COM 09253X102 203 15487 SH SOLE 0 0 0 LYONDELLBASELL INDUSTRIES N V ORD SHS CL A COM N53745100 215 2070 SH SOLE 0 0 0 PRUDENTIAL SHORT DURATION HIGH YIELD FD INC COM 74442F107 218 15443 SH SOLE 0 0 0 VANGUARD SCOTTSDALE FDS VANGUARD INTER-TERM TREAS INDEX FD EFT 92206C706 222 3529 SH SOLE 0 0 0 COMPASS DIVERSIFIED HLDGS SH BEN INT COM 20451Q104 222 13720 SH SOLE 0 0 0 VANECK VECTORS ETF TR MORNINGSTAR WIDE MOAT ETF 92189F643 224 5533 SH SOLE 0 0 0 ISHARES TR MSCI UTD KINGDOM ETF 46435G334 228 6626 SH SOLE 0 0 0 NETAPP INC COM 64110D104 230 3880 SH SOLE 0 0 0 TARGET CORP COM 87612E106 231 3350 SH SOLE 0 0 0 D R HORTON INC COM 23331A109 234 5523 SH SOLE 0 0 0 NVIDIA CORP COM 67066G104 235 1063 SH SOLE 0 0 0 WELLS FARGO INCOME OPPORTUNITIES FUND SHS COM 94987B105 236 29496 SH SOLE 0 0 0 ISHARES TR MSCI INDIA SMALL CAP ETF 46429B614 238 5016 SH SOLE 0 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 241 974 SH SOLE 0 0 0 FREEPORT-MCMORAN INC CL B COM 35671D857 241 14065 SH SOLE 0 0 0 INGERSOLL RAND PLC SHS ISIN IE00B6330302 COM G47791101 245 2942 SH SOLE 0 0 0 CONCHO RES INC COM 20605P101 248 1766 SH SOLE 0 0 0 ISHARES TR MSCI EAFE MINIMUM VOLATILITY ETF 46429B689 252 3464 SH SOLE 0 0 0 EXELON CORP COM 30161N101 258 6734 SH SOLE 0 0 0 QUEST DIAGNOSTICS INC COM 74834L100 258 2635 SH SOLE 0 0 0 EATON VANCE MUN BD FD COM 27827X101 258 21820 SH SOLE 0 0 0 ADVENT CLAYMORE CONV SECS & INCOME FD COM 00764C109 259 17432 SH SOLE 0 0 0 WESTERN ASSET HIGH INCOME OPPTY FD INC ETF 95766K109 260 54035 SH SOLE 0 0 0 CHECK POINT SOFTWARE TECHNOLOGIES LTD SHS ISIN IL0010824113 COM M22465104 261 2649 SH SOLE 0 0 0 VANGUARD WORLD FDS VANGUARD MATLS ETF 92204A801 261 2076 SH SOLE 0 0 0 ALLIANCEBERNSTEIN NATL MUN INCOME FD INC ETF 01864U106 264 21053 SH SOLE 0 0 0 BROADCOM LTD SHS N/C EFF 4/5/18 1 OLD /1 CU 11135F101 BROADCOM INC COM Y09827109 264 1160 SH SOLE 0 0 0 BLACKROCK CORPORATE HIGH YIELD FD INC COM 09255P107 269 25504 SH SOLE 0 0 0 GENERAL MTRS CO COM 37045V100 273 7622 SH SOLE 0 0 0 PAYPAL HLDGS INC COM 70450Y103 277 3694 SH SOLE 0 0 0 BANCO BILBAO VIZCAYA ARGENTARIA SA ISIN US05946K1016 APONSORED ADR 05946K101 280 35931 SH SOLE 0 0 0 DOWDUPONT INC COM 26078J100 282 4543 SH SOLE 0 0 0 WESTERN ASSET EMERGING MKTS DEBT FD INC COM 95766A101 286 19583 SH SOLE 0 0 0 AETNA INC NEW COM 00817Y108 286 1702 SH SOLE 0 0 0 HDFC BK LTD REPSTG 3 SHS ADR 40415F101 289 2923 SH SOLE 0 0 0 GLAXOSMITHKLINE PLC SPONS ADR 37733W105 289 7441 SH SOLE 0 0 0 TOTAL S A SPONSORED ADR 89151E109 294 5175 SH SOLE 0 0 0 VODAFONE GROUP PLC NEW SPONSORED NO PAR ADR 92857W308 300 10954 SH SOLE 0 0 0 VANGUARD SCOTTSDALE FDS VANGUARD RUSSELL 2000 INDEX FD SHS ETF 92206C664 307 2577 SH SOLE 0 0 0 PRUDENTIAL GLOBAL SHORT DURATION HIGH YIELD FD INC COM 74433A109 309 22313 SH SOLE 0 0 0 CENTERPOINT ENERGY INC COM 15189T107 317 11761 SH SOLE 0 0 0 ISHARES TR EDGE MSCI USA QUALITY FACTOR ETF 46432F339 319 3953 SH SOLE 0 0 0 ISHARES TR CORE 1-5 YR USD BD ETF 46432F859 319 6480 SH SOLE 0 0 0 BLACKROCK ENHANCED EQUITY DIVID TR COM 09251A104 323 37898 SH SOLE 0 0 0 EATON CORPORATION PLC SHS ISIN IE00B8KQN827 COM G29183103 324 4165 SH SOLE 0 0 0 POWERSHARES EXCHANGE TRADED FD TR II PFD PORTFOLIO ETF 73936T565 325 22290 SH SOLE 0 0 0 BLACKROCK DEBT STRATEGIES FD INC COM 09255R202 326 28094 SH SOLE 0 0 0 W P CAREY INC COM 92936U109 328 5358 SH SOLE 0 0 0 BROOKFIELD INFRASTRUCTURE PARTNERS LP LTD PARTNERSHIP INT UNIT ISIN BMG162521014 COM G16252101 358 8675 SH SOLE 0 0 0 SPDR SER TR BLOOMBERG BARCLAYS INTER TERM CORPORATE BD ETF 78464A375 371 11082 SH SOLE 0 0 0 FIDELITY NATL INFORMATION SVCS INC COM 31620M106 373 3934 SH SOLE 0 0 0 HEALTHCARE TR AMER INC CL A NEW COM 42225P501 383 14995 SH SOLE 0 0 0 BCE INC COM NEW ISIN CA05534B7604 SHS COM 05534B760 383 8995 SH SOLE 0 0 0 ISHARES TR MSCI EAFE ESG OPTIMIZED ETF 46435G516 394 5918 SH SOLE 0 0 0 NUVEEN DIVID ADVANTAGE MUN FD COM 67066V101 400 30361 SH SOLE 0 0 0 VECTOR GROUP LTD COM 92240M108 411 20500 SH SOLE 0 0 0 NEXTERA ENERGY INC COM 65339F101 417 2568 SH SOLE 0 0 0 ISHARES TR 0-5 YR HIGH YIELD CORP BD ETF 46434V407 435 9343 SH SOLE 0 0 0 WESTROCK CO COM 96145D105 451 7285 SH SOLE 0 0 0 AMDOCS LTD SHS ISIN GB0022569080 COM G02602103 457 6952 SH SOLE 0 0 0 CAPITAL ONE FINL CORP COM 14040H105 462 4927 SH SOLE 0 0 0 3M CO COM 88579Y101 465 2185 SH SOLE 0 0 0 ISHARES TR CURRENCY HEDGED MSCI EUROZONE ETF 46434V639 496 17185 SH SOLE 0 0 0 ALPS ETF TR ALERIAN MLP ETF 00162Q866 510 54843 SH SOLE 0 0 0 COSTCO WHOLESALE CORP NEW COM 22160K105 512 2799 SH SOLE 0 0 0 CONOCOPHILLIPS COM 20825C104 519 8926 SH SOLE 0 0 0 FEDEX CORP COM 31428X106 524 2197 SH SOLE 0 0 0 CME GROUP INC COM 12572Q105 533 3382 SH SOLE 0 0 0 EVERSOURCE ENERGY COM 30040W108 537 9157 SH SOLE 0 0 0 ALLIANZGI NFJ DIVID INT & PREM STRATEGY FD COM 01883A107 542 43397 SH SOLE 0 0 0 EDWARDS LIFESCIENCES CORP COM 28176E108 545 4024 SH SOLE 0 0 0 SALESFORCE.COM INC COM 79466L302 550 4766 SH SOLE 0 0 0 ABBVIE INC COM 00287Y109 551 6023 SH SOLE 0 0 0 WELLTOWER INC COM 95040Q104 553 10238 SH SOLE 0 0 0 FLEXSHARES TR INTL QUALITY DIVIDEND INDEX FD ETF 33939L837 553 21324 SH SOLE 0 0 0 ARES CAP CORP COM 04010L103 554 34728 SH SOLE 0 0 0 EPR PPTYS COM SH BEN INT COM 26884U109 563 10355 SH SOLE 0 0 0 WASTE MGMT INC DEL COM 94106L109 571 6834 SH SOLE 0 0 0 SIX FLAGS ENTMT CORP NEW COM 83001A102 578 9605 SH SOLE 0 0 0 ACCENTURE PLC IRELAND CLASS SHS ISIN IE00B4BNMY34 COM G1151C101 595 4019 SH SOLE 0 0 0 DOMINION ENERGY INC COM 25746U109 599 8927 SH SOLE 0 0 0 CHUBB LTD ISIN CH0044328745 COM H1467J104 600 4499 SH SOLE 0 0 0 MEDTRONIC PLC SHS ISIN IE00BTN1Y115 COM G5960L103 607 7834 SH SOLE 0 0 0 SELECT SECTOR SPDR TR HEALTH CARE ETF 81369Y209 608 7648 SH SOLE 0 0 0 ZOETIS INC CL A COM 98978V103 621 7644 SH SOLE 0 0 0 ISHARES TR CORE MSCI PAC ETF MKT ETF 46434V696 640 10908 SH SOLE 0 0 0 BLACKROCK INC COM 09247X101 653 1257 SH SOLE 0 0 0 CISCO SYSTEMS INC COM 17275R102 656 16001 SH SOLE 0 0 0 DUKE ENERGY CORP NEW COM 26441C204 679 8805 SH SOLE 0 0 0 SELECT SECTOR SPDR TR CONSUMER DISCRETIONARY ETF 81369Y407 682 6929 SH SOLE 0 0 0 AVANGRID INC COM 05351W103 695 13686 SH SOLE 0 0 0 MID-AMER APT CMNTYS INC COM 59522J103 717 7942 SH SOLE 0 0 0 XCEL ENERGY INC COM 98389B100 760 16905 SH SOLE 0 0 0 SPDR S&P 500 ETF TR TR UNIT ETF 78462F103 789 3065 SH SOLE 0 0 0 VANGUARD WORLD FDS VANGUARD CONSUMER STAPLES ETF 92204A207 870 6553 SH SOLE 0 0 0 COMCAST CORP CL A COM 20030N101 884 26368 SH SOLE 0 0 0 POWERSHARES EXCHANGE-TRADED FD TR AEROSPACE & DEFENSE PORT ETF 73935X690 908 16216 SH SOLE 0 0 0 SPDR SER TR BLOOMBERG BARCLAYS HIGH YIELD BD ETF 78464A417 936 26289 SH SOLE 0 0 0 MERCK & CO INC NEW COM 58933Y105 941 17673 SH SOLE 0 0 0 ISHARES TR FLTG RATE NT ETF 46429B655 973 19125 SH SOLE 0 0 0 CROWN CASTLE INTL CORP NEW COM 22822V101 1021 9386 SH SOLE 0 0 0 VANECK VECTORS ETF TR EMERGING MKTS HIGH YIELD BD ETF 92189F353 1079 45116 SH SOLE 0 0 0 VISA INC CL A COM 92826C839 1101 9298 SH SOLE 0 0 0 ALTRIA GROUP INC COM 02209S103 1141 18863 SH SOLE 0 0 0 ADOBE SYS INC COM 00724F101 1176 5540 SH SOLE 0 0 0 AMERICAN TOWER REIT COM 03027X100 1206 8385 SH SOLE 0 0 0 SELECT SECTOR SPDR TR FINANCIAL ETF 81369Y605 1257 46629 SH SOLE 0 0 0 SELECT SECTOR SPDR TR CONSUMER STAPLES ETF 81369Y308 1294 25203 SH SOLE 0 0 0 ALPHABET INC CAP STK CL C COM 02079K107 1522 1512 SH SOLE 0 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 1531 32470 SH SOLE 0 0 0 ISHARES TR CORE HIGH DIVID ETF 46429B663 1563 18856 SH SOLE 0 0 0 UNITEDHEALTH GROUP INC COM 91324P102 1742 8020 SH SOLE 0 0 0 MASTERCARD INC CL A COM 57636Q104 1751 10203 SH SOLE 0 0 0 FACEBOOK INC CL A COM 30303M102 1832 11789 SH SOLE 0 0 0 JP MORGAN CHASE & CO ISINUS46625H1005 COM 46625H100 1926 17861 SH SOLE 0 0 0 EXXON MOBIL CORP COM 30231G102 2056 28073 SH SOLE 0 0 0 AT&T INC COM 00206R102 2148 61200 SH SOLE 0 0 0 ALPHABET INC CL A COM 02079K305 2630 2597 SH SOLE 0 0 0 VANGUARD SCOTTSDALE FDS VANGUARD INTERMEDIATE-TERM CORPORATE BOND INDEX SHS ETF 92206C870 2702 31949 SH SOLE 0 0 0 ISHARES TR CORE MSCI TOTAL INTL STK ETF 46432F834 2931 47238 SH SOLE 0 0 0 RYDEX ETF TR GUGGENHEIM S&P 500 PURE VALUE ETF POWERSHARES TR ETF 78355W304 11654 184486 SH SOLE 0 0 0 VANECK VECTORS ETF TR JP MORGAN EMERGING MKTS LOC CURRENCY BD ETF 92189F494 12694 653333 SH SOLE 0 0 0 ISHARES TR MSCI USA MINIMUM VOLATILITY ETF 46429B697 19948 390679 SH SOLE 0 0 0 ISHARES TR CORE MSCI EAFE ETF 46432F842 22584 348145 SH SOLE 0 0 0 VANGUARD MTG BACKED SECS ETF 92206C771 22617 439161 SH SOLE 0 0 0 ISHARES TR U S TREAS BD ETF 46429B267 28459 1152200 SH SOLE 0 0 0 POWERSHARES DB COMMODITY INDEX TRACKING FD UNIT BEN INT ETF 73935S105 31983 1909456 SH SOLE 0 0 0 ISHARES TR EDGE MSCI USA MOMENTUM FACTOR ETF 46432F396 32321 315077 SH SOLE 0 0 0 ISHARES U S ETF TR SHORT MTY BD ETF 46431W507 33784 674191 SH SOLE 0 0 0 POWERSHARES EXCHANGE-TRADED FD TR S&P 500 HIGH QUALITY PORT ETF 73935X682 42482 1457348 SH SOLE 0 0 0 ISHARES TR ISHARES CURRENCY HEDGED MSCI EAFE ETF 46434V803 49440 1748835 SH SOLE 0 0 0 ISHARES INC CORE MSCI EMERGING MKTS ETF 46434G103 60348 1053187 SH SOLE 0 0 0