Director, PAS Compliance

0001071640-18-000017.txt : 20181105 0001071640-18-000017.hdr.sgml : 20181105 20181105152738 ACCESSION NUMBER: 0001071640-18-000017 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180930 FILED AS OF DATE: 20181105 DATE AS OF CHANGE: 20181105 EFFECTIVENESS DATE: 20181105 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: 181159774 BUSINESS ADDRESS: STREET 1: 7 HANOVER SQUARE, H4C CITY: NEW YORK STATE: NY ZIP: 10004 BUSINESS PHONE: 212-919-2033 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 09-30-2018 09-30-2018 PARK AVENUE SECURITIES LLC

7 HANOVER SQUARE, H4C NEW YORK NY 10004

13F HOLDINGS REPORT 028-16353 N Thomas J. Bellaro Director, PAS Compliance 2129193652 Thomas J. Bellaro New York NY 11-05-2018 0 214 622941 false INFORMATION TABLE 2 13fReadytoFile2018Q3.xml PHOTRONICS INC SR NT CONV NOTE 719405AK8 12 11000 SH SOLE 0 0 0 BANCO SANTANDER SA ADR ISIN US05964H1059 ADR 05964H105 85 17130 SH SOLE 0 0 0 CBRE CLARION GLOBAL REAL ESTATE INCOME FD COM COM 12504G100 91 12362 SH SOLE 0 0 0 BARCLAYS PLC ADR ISIN US06738E2046 ADR 06738E204 101 11197 SH SOLE 0 0 0 NUVEEN CR STRATEGIES INCOME FD COM SHS COM 67073D102 101 12733 SH SOLE 0 0 0 WELLS FARGO GLOBAL DIVID OPPORTUNITY FD COM ISIN US94987C1036 COM 94987C103 105 19746 SH SOLE 0 0 0 AMBEV S A SPONSORED ADR ISIN US02319V1035 ADR 02319V103 106 22916 SH SOLE 0 0 0 ABERDEEN GLOBAL PREMIER PPTYS FD COM SHS BEN INT COM 00302L108 107 17298 SH SOLE 0 0 0 NUVEEN PFD & INCOME OPPORTUNITIES FD COM COM 67073B106 113 12235 SH SOLE 0 0 0 SUMITOMO MITSUI FINL GROUP INC SPONS ADR ISIN US86562M2098 ADR 86562M209 147 18172 SH SOLE 0 0 0 ICICI BK LTD ADR ISIN US45104G1040 ADR 45104G104 161 18797 SH SOLE 0 0 0 AES CORP COM COM 00130H105 182 12955 SH SOLE 0 0 0 COHEN & STEERS REIT & PFD INCOME FD INC COM COM 19247X100 196 10017 SH SOLE 0 0 0 UBS AG LONDON BRH ETRACS ALERIAN MLP INDEX ETN ETN 90267B682 199 11308 SH SOLE 0 0 0 MSCI INC COM COM 55354G100 201 1117 SH SOLE 0 0 0 KAR AUCTION SVCS INC COM COM 48238T109 202 3370 SH SOLE 0 0 0 COMPASS DIVERSIFIED HLDGS SH BEN INT SH BEN INT 20451Q104 202 11214 SH SOLE 0 0 0 LYONDELLBASELL INDUSTRIES N V ORD SHS CL A SHS A N53745100 206 1979 SH SOLE 0 0 0 ALPS ETF TR ALERIAN MLP ETF ETF 00162Q866 211 19451 SH SOLE 0 0 0 FEDERATED PREMIER MUN INCOME FD COM COM 31423P108 212 16581 SH SOLE 0 0 0 ISHARES INC MSCI EM ESG SELECT ETF ETF 46434G863 213 6360 SH SOLE 0 0 0 DWS STRATEGIC MUN DWS STRATEGIC MUN NEW COM COM 23342Q101 215 20239 SH SOLE 0 0 0 VERISK ANALYTICS INC COM COM 92345Y106 216 1793 SH SOLE 0 0 0 INTERCONTINENTAL EXCHANGE INC COM COM 45866F104 216 2875 SH SOLE 0 0 0 BLACKROCK MUN BD TR COM COM 09249H104 217 15781 SH SOLE 0 0 0 WESTERN ASSET INCOME FD II INC 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EQUINIX INC COM PAR $0 001 COM 29444U700 370 857 SH SOLE 0 0 0 CONCHO RES INC COM COM 20605P101 371 2414 SH SOLE 0 0 0 ISHARES TR MSCI UTD KINGDOM ETF NEW ETF 46435G334 373 10951 SH SOLE 0 0 0 VANGUARD SCOTTSDALE FDS VANGUARD RUSSELL 2000 INDEX FD ETF SHS ETF 92206C664 377 2822 SH SOLE 0 0 0 BLACKROCK DEBT STRATEGIES FD INC COM NEW COM 09255R202 384 34364 SH SOLE 0 0 0 ISHARES TR EDGE MSCI USA QUALITY FACTOR ETF ETF 46432F339 386 4259 SH SOLE 0 0 0 LABORATORY CORP AMER HLDGS COM NEW COM 50540R409 390 2250 SH SOLE 0 0 0 HDFC BK LTD ADR REPSTG 3 SHS ADR 40415F101 390 4169 SH SOLE 0 0 0 CANADIAN PAC RY LTD COM ISIN CA13645T1003 COM 13645T100 395 1824 SH SOLE 0 0 0 STERIS PLC SHS ISIN GB00BVVBC028 SHS G84720104 396 3465 SH SOLE 0 0 0 ADVENT CLAYMORE CONV SECS & INCOME FD COM COM 00764C109 403 25502 SH SOLE 0 0 0 VANGUARD WORLD FDS VANGUARD MATLS ETF ETF 92204A801 407 3079 SH SOLE 0 0 0 ISHARES TR CORE 1-5 YR USD BD ETF ETF 46432F859 410 8389 SH SOLE 0 0 0 INGERSOLL RAND PLC SHS ISIN 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1708 SH SOLE 0 0 0 WASTE MGMT INC DEL COM COM 94106L109 504 5592 SH SOLE 0 0 0 PRAXAIR INC COM COM 74005P104 516 3057 SH SOLE 0 0 0 CENTERPOINT ENERGY INC COM COM 15189T107 521 18902 SH SOLE 0 0 0 VALERO ENERGY CORP NEW COM COM 91913Y100 522 4585 SH SOLE 0 0 0 ISHARES TR CURRENCY HEDGED MSCI EUROZONE ETF ETF 46434V639 532 17872 SH SOLE 0 0 0 BCE INC COM NEW ISIN CA05534B7604 SHS COM 05534B760 541 13216 SH SOLE 0 0 0 FEDEX CORP COM COM 31428X106 599 2497 SH SOLE 0 0 0 EPR PPTYS COM SH BEN INT COM 26884U109 604 8943 SH SOLE 0 0 0 EVERSOURCE ENERGY COM COM 30040W108 609 9896 SH SOLE 0 0 0 GLAXOSMITHKLINE PLC SPONS ADR ADR 37733W105 627 15645 SH SOLE 0 0 0 WESTROCK CO COM SHS COM 96145D105 630 11750 SH SOLE 0 0 0 CONOCOPHILLIPS COM COM 20825C104 637 7968 SH SOLE 0 0 0 ISHARES TR CORE MSCI PAC ETF MKT ETF ETF 46434V696 651 11016 SH SOLE 0 0 0 ISHARES TR 0-5 YR HIGH YIELD CORP BD ETF ETF 46434V407 674 14360 SH SOLE 0 0 0 NEXTERA ENERGY INC COM COM 65339F101 682 4082 SH SOLE 0 0 0 AVANGRID INC COM COM 05351W103 708 14874 SH SOLE 0 0 0 SELECT SECTOR SPDR TR HEALTH CARE SBI HEALTHCARE 81369Y209 710 7430 SH SOLE 0 0 0 SELECT SECTOR SPDR TR CONSUMER DISCRETIONARY SBI CONS DISCR 81369Y407 718 6144 SH SOLE 0 0 0 ISHARES TR CORE DIVID GROWTH ETF ETF 46434V621 728 19573 SH SOLE 0 0 0 ABBVIE INC COM COM 00287Y109 728 7667 SH SOLE 0 0 0 ABERDEEN TOTAL DYNAMIC DIVID FD COM COM 00326L100 753 85347 SH SOLE 0 0 0 MEDTRONIC PLC SHS ISIN IE00BTN1Y115 SHS G5960L103 774 7782 SH SOLE 0 0 0 ARES CAP CORP COM COM 04010L103 784 45571 SH SOLE 0 0 0 NETFLIX INC COM COM 64110L106 791 2075 SH SOLE 0 0 0 SIX FLAGS ENTMT CORP NEW COM COM 83001A102 829 12109 SH SOLE 0 0 0 ALLIANZGI NFJ DIVID INT & PREM STRATEGY FD COM COM 01883A107 837 63571 SH SOLE 0 0 0 CHUBB LTD COM ISIN CH0044328745 COM H1467J104 856 6429 SH SOLE 0 0 0 WELLTOWER INC COM COM 95040Q104 866 13675 SH SOLE 0 0 0 ISHARES TR ESG MSCI EAFE ETF ETF 46435G516 871 13129 SH SOLE 0 0 0 CAPITAL ONE FINL CORP COM COM 14040H105 876 9225 SH SOLE 0 0 0 3M CO COM COM 88579Y101 881 4150 SH SOLE 0 0 0 SPDR SER TR BLOOMBERG BARCLAYS HIGH YIELD BD ETF ETF 78464A417 886 24606 SH SOLE 0 0 0 MID-AMER APT CMNTYS INC COM COM 59522J103 911 9145 SH SOLE 0 0 0 COSTCO WHOLESALE CORP NEW COM COM 22160K105 918 3912 SH SOLE 0 0 0 VANECK VECTORS ETF TR EMERGING MKTS HIGH YIELD BD ETF ETF 92189F353 957 42117 SH SOLE 0 0 0 CME GROUP INC COM COM 12572Q105 958 5497 SH SOLE 0 0 0 EDWARDS LIFESCIENCES CORP COM COM 28176E108 964 5641 SH SOLE 0 0 0 XCEL ENERGY INC COM COM 98389B100 981 20809 SH SOLE 0 0 0 DUKE ENERGY CORP NEW COM NEW COM 26441C204 1005 12630 SH SOLE 0 0 0 COMCAST CORP CL A CL A 20030N101 1032 29058 SH SOLE 0 0 0 DOMINION ENERGY INC COM COM 25746U109 1084 15466 SH SOLE 0 0 0 NVIDIA CORP COM COM 67066G104 1134 3920 SH SOLE 0 0 0 BLACKROCK INC COM COM 09247X101 1136 2400 SH SOLE 0 0 0 ISHARES TR CORE HIGH DIVID ETF ETF 46429B663 1158 12716 SH SOLE 0 0 0 CISCO SYSTEMS INC COM 17275R102 1163 23798 SH SOLE 0 0 0 ISHARES TR ISHARES CURRENCY HEDGED MSCI EAFE ETF ETF 46434V803 1310 43589 SH SOLE 0 0 0 SELECT SECTOR SPDR TR FINANCIAL SBI INT FINL 81369Y605 1375 49648 SH SOLE 0 0 0 MERCK & CO INC NEW COM COM 58933Y105 1394 19486 SH SOLE 0 0 0 AMERICAN TOWER REIT COM COM 03027X100 1407 9767 SH SOLE 0 0 0 CROWN CASTLE INTL CORP NEW COM COM 22822V101 1443 13066 SH SOLE 0 0 0 ZOETIS INC CL A CL A 98978V103 1531 16700 SH SOLE 0 0 0 ACCENTURE PLC IRELAND CLASS SHS ISIN IE00B4BNMY34 SHS G1151C101 1647 9491 SH SOLE 0 0 0 ALTRIA GROUP INC COM COM 02209S103 1701 28196 SH SOLE 0 0 0 ADOBE SYS INC COM COM 00724F101 1830 6641 SH SOLE 0 0 0 SELECT SECTOR SPDR TR CONSUMER STAPLES ETF 81369Y308 1834 34028 SH SOLE 0 0 0 ALPHABET INC CAP STK CL C CPA STK CL C 02079K107 1983 1659 SH SOLE 0 0 0 FACEBOOK INC CL A COM 30303M102 2120 13051 SH SOLE 0 0 0 VERIZON COMMUNICATIONS INC COM COM 92343V104 2362 43874 SH SOLE 0 0 0 EXXON MOBIL CORP COM COM 30231G102 2601 30307 SH SOLE 0 0 0 AT&T INC COM COM 00206R102 2639 78803 SH SOLE 0 0 0 UNITEDHEALTH GROUP INC COM COM 91324P102 2646 9833 SH SOLE 0 0 0 VISA INC COM CL A COM 92826C839 2760 18305 SH SOLE 0 0 0 VANGUARD SCOTTSDALE FDS VANGUARD INTERMEDIATE-TERM CORPORATE BOND INDEX ETF SHS ETF 92206C870 2987 35873 SH SOLE 0 0 0 ISHARES TR FLTG RATE NT ETF ETF 46429B655 3007 59035 SH SOLE 0 0 0 JP MORGAN CHASE & CO COM ISIN US46625H1005 COM 46625H100 3347 29489 SH SOLE 0 0 0 ISHARES TR CORE MSCI TOTAL INTL STK ETF ETF 46432F834 3417 56534 SH SOLE 0 0 0 MASTERCARD INC CL A COM COM 57636Q104 4062 18151 SH SOLE 0 0 0 ALPHABET INC CL A CL A 02079K305 4140 3426 SH SOLE 0 0 0 VANECK VECTORS ETF TR J P MORGAN EMERGING MKTS LOC CURRENCY BD ETF ETF 92189F494 10942 667178 SH SOLE 0 0 0 INVESCO EXCHANGE TRADED FD TR S&P 500 PURE VALUE ETF ETF 46137V258 12684 184468 SH SOLE 0 0 0 VANGUARD SCOTTSDALE FDS VANGUARD MTG BACKED SECS ETF ETF 92206C771 22703 446742 SH SOLE 0 0 0 ISHARES TR MSCI USA MINIMUM VOLATILITY ETF ETF 46429B697 27064 474554 SH SOLE 0 0 0 INVESCO ACTIVELY MANAGED EXCHANGE TRADED COMMODITY FD TR OPTIMUM YIELD DIVSF COMMODITY STRATEGY NO K1 ETF ETF 46090F100 32239 1686136 SH SOLE 0 0 0 ISHARES TR U S TREAS BD ETF ETF 46429B267 32993 1360533 SH SOLE 0 0 0 ISHARES INC CORE MSCI EMERGING MKTS ETF ETF 46434G103 43631 842787 SH SOLE 0 0 0 INVESCO EXCHANGE TRADED FD TR S&P 500 QUALITY ETF A ETF 46137V241 46719 1419588 SH SOLE 0 0 0 SPDR SER TR BLOOMBERG BARCLAYS INTER TERM CORPORATE BD ETF ETF 78464A375 52640 1586964 SH SOLE 0 0 0 ISHARES TR EDGE MSCI USA MOMENTUM FACTOR ETF ETF 46432F396 60728 507678 SH SOLE 0 0 0 ISHARES TR CORE MSCI EAFE ETF ETF 46432F842 68271 1063575 SH SOLE 0 0 0 ISHARES U S ETF TR SHORT MTY BD ETF ETF 46431W507 85543 1707786 SH SOLE 0 0 0