James M. Caswell

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CRD#: 1121524

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 M Caswell III, CFP®, who also goes by James Marvin Caswell III, Jim Caswell III, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1983. James had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James Marvin Caswell Iii | Jim Caswell Iii

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. Mass Mutual Fixed Annuity-SELLING FIXED ANNUITY, Start: 01/01/2010, Address: 5040 ROSWELL RD. ATLANTA GA. 30342, Hrs per month - Tot/Bus: 5/3, Investment related, 2. TRUSTEE FOR FATHER'S ESTATE-MANAGED BY GOLDMAN SACHS AND I AM CO-TRUSTEE, Start: 10/20/2016, Address: 5040 ROSWELL RD ATLANTA, GA. 30342, 1 bus hr per month, Investment related, 3. Caswell Family Trust-Co-Trustee, Start: 11/01/2017, Address: 2525 Peachtree Road Unit 19; Atlanta, GA 30305, 1 bus hr per month, Investment related, 4) Church Assistant Treasurer, Start: 09/01/2021, Address: 2799 Northside Drive NW Atlanta, GA 30305, 3 total hours per month; 3 during securities trading hours, Not investment related, No annual compensation, 5) Treasurer of Home Owners Association, Start: 1/1/22, Address: 2525 Peachtree Road, NE, Atlanta, GA 30305, 5 total hours per month; 0 during securities trading hours, Not Investment Related, No Annual Compensation,

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1987

Experience

Past

June 26, 2006 - March 11, 2025

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

ATLANTA, GA

Past

May 13, 2003 - December 7, 2007

PEACHTREE PLANNING ADVISORS, INC.

RIA

CRD#: 112787

ATLANTA, GA

Past

May 3, 1999 - March 11, 2025

PARK AVENUE SECURITIES LLC

CRD#: 46173

ATLANTA, GA

Past

December 7, 1989 - May 3, 1999

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

October 28, 1988 - December 7, 1989

CADARET, GRANT & CO., INC.

CRD#: 10641

SYRACUSE, NY

Past

April 30, 1987 - November 17, 1988

FOCUS SECURITIES, INC.

CRD#: 15023

Past

September 11, 1985 - May 12, 1987

FSC SECURITIES CORPORATION

CRD#: 7461

Past

April 18, 1983 - September 16, 1985

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Past

April 18, 1983 - September 16, 1985

IDS LIFE INSURANCE COMPANY

CRD#: 6321

Past

April 18, 1983 - September 16, 1985

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PARK AVENUE SECURITIES LLC

CRD#: 46173 / SEC#: 801-58108, 8-51324

RIA

Registered Investment Advisory firm - SEC (11/13/2000 Approved)

District of Columbia

Registered Investment Advisory firm - SEC (1/2/2002 Terminated)

Broker-Dealer Firm Regulated by FINRA (New York district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 4/13/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/19/1985

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 3/13/1984

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 4/14/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/24/1986

General Securities Principal Examination

Current Firm

PARK AVENUE SECURITIES LLC

CRD#: 46173 / SEC#: 801-58108, 8-51324

RIA

Registered Investment Advisory firm - SEC (11/13/2000 Approved)

District of Columbia

Registered Investment Advisory firm - SEC (1/2/2002 Terminated)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

10 Hudson Yards, New York, NY 10001

Mailing Address

10 Hudson Yards, New York, NY 10001

Phone number

+1 (888) 600-4667

Established

Delaware since 08/20/1998

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

1,984

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PAS FORM ADV REVISED FIRM BROCHURE (3/19/2025)

VESTWISE (3/19/2025)

PARK AVENUE UMA/SMA SELECT AND STRATEGIST SELECT/STRATEGIST SELECT PLUS (3/19/2025)

PARK AVENUE SIGNATURE PORTFOLIO (3/19/2025)

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	Cover Page	Report
01/22/2025	Cover Page	Report
11/15/2023	Cover Page	Report

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.

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Firm Stability Insights

James M. Caswell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PEACHTREE PLANNING ADVISORS, INC.

PARK AVENUE SECURITIES LLC

GUARDIAN INVESTOR SERVICES LLC

CADARET, GRANT & CO., INC.

FOCUS SECURITIES, INC.

FSC SECURITIES CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERICAN EXPRESS FINANCIAL CORPORATION

Primary Firm SEC Registration

PARK AVENUE SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/13/1983

SIE

Date: 10/1/2018

Series 7

Date: 10/19/1985

Series 22

Date: 3/13/1984

Series 6

Date: 4/14/1983

Series 24

Date: 7/24/1986

Current Firm

PARK AVENUE SECURITIES LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

PARK AVENUE SECURITIES LLC

TRUST BUT VERIFY

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