James A. Breslin
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James A Breslin, who also goes by James Arthur Breslin, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 25, 2015 - February 28, 2020
PARK AVENUE SECURITIES LLC
June 19, 2015 - February 28, 2020
PARK AVENUE SECURITIES LLC
January 20, 2006 - May 12, 2015
MSI FINANCIAL SERVICES, INC.
January 6, 2006 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
January 6, 2006 - May 12, 2015
MSI FINANCIAL SERVICES, INC.
November 18, 2004 - March 8, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
October 21, 2004 - March 8, 2005
IDS LIFE INSURANCE COMPANY
October 21, 2004 - March 8, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
September 4, 1990 - August 16, 1991
WELLS FARGO CLEARING SERVICES, LLC
January 29, 1990 - September 4, 1990
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
November 15, 1988 - November 28, 1988
ALEX. BROWN & SONS INCORPORATED
May 2, 1986 - October 4, 1988
ALEX. BROWN & SONS INCORPORATED
November 6, 1984 - May 8, 1986
DREXEL BURNHAM LAMBERT INCORPORATED
August 2, 1983 - November 8, 1983
MGIC MORTGAGE SECURITIES CORPORATION
Primary Firm SEC Registration
PARK AVENUE SECURITIES LLC
CRD#: 46173 / SEC#: 801-58108, 8-51324
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 2/26/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
PARK AVENUE SECURITIES LLC
CRD#: 46173 / SEC#: 801-58108, 8-51324
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA | OWNER | |
| BOGGS, ALLEN WARREN | HEAD OF PRODUCT & SUPERVISION | 4751363 |
| CASWELL, MARIANNE GRACE | PRESIDENT AND ELECTED MEMBER | 6424651 |
| DAVARASHVILI, KATE | FINOP/PRINCIPAL FINANCIAL OFFICER. | 5642325 |
| DESROCHERS, CARL | ELECTED MEMBER | 7807194 |
| GALLO, JOSEPH MICHAEL | CHIEF COMPLIANCE OFFICER | 3108044 |
| HERGAN, JOSHUA NEIL | GENERAL COUNSEL | 4572643 |
| LESINA, LEYLA ADA | ELECTED MEMBER | 3004323 |
| MAHER, CARLY PRITCHARD | HEAD OF WEALTH MANAGEMENT STRATEGY AND BUSINESS OPERATIONS | 4003223 |
| PERRY, MICHAEL ANDREW | ELECTED MEMBER | 2688179 |
| RYNIKER, MICHAEL JOHN | PRINCIPAL OPERATIONS OFFICER | 2474604 |
Regulatory assets under management
| Total Number of Accounts | 71,074 |
| AUM (Assets Under Management) | $ 14,998,852,974 |
Disclosures
| Regulatory Event | 20 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 01/22/2025 | ||
| 11/15/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
