ML
Mark D. Lowe
PARK AVENUE SECURITIES LLC
SHREWSBURY, NJ 07702-4331
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CRD#: 1347596
ML
Professional summary
Mark D Lowe, CFP®, who also goes by Mark Douglas Lowe, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Shrewsbury, New Jersey.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Mark has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mark Douglas Lowe
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. Fixed annuity-Agent of record and get some small trail commissions
Start: 02/02/2009
Address: 1040 Broad street Shrewsbury NJ 07702
1 non bus hr per month
Investment related
>10% annual compensation
2) Author/book-in process of writing a book on financial products
Start: 07/31/2020
Address: 43 Richard Lane, West Long Branch NJ 07764
30 total hours per month 0 during securities trading hours
Not Investment related
No compensation
3) the conservative advisor LLC-president
Start: 12/22/2020
Address: 1040 broad street Shrewsbury NJ 07702
0 total hours per month
Investment related
No compensation
CRS (Client Relationship Summary) - RIA
Click below to view Mark D Lowe's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark D Lowe's CRS (Customer Relationship Summary).
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®
Start date: 1991
Experience
Current
December 15, 2008 - Present
PARK AVENUE SECURITIES LLC
Office #1: 1040 Broad Street Suite 202, Shrewsbury, NJ 07702-4331RIA
BD
CRD#: 46173
SHREWSBURY, NJ
Current
December 15, 2008 - Present
PARK AVENUE SECURITIES LLC
Office #1: 1040 Broad Street Suite 202, Shrewsbury, NJ 07702-4331RIA
BD
CRD#: 46173
SHREWSBURY, NJ
Past
January 23, 2009 - December 31, 2011
INTERNATIONAL PLANNING ALLIANCE, LLC
RIA
CRD#: 120701
FAIRFIELD, NJ
Past
June 15, 2004 - December 11, 2008
FIRST MONTAUK SECURITIES CORP.
RIA
CRD#: 13755
RED BANK, NJ
Past
October 27, 1998 - December 11, 2008
FIRST MONTAUK SECURITIES CORP.
BD
CRD#: 13755
RED BANK, NJ
Past
January 16, 1992 - November 4, 1998
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
June 22, 1988 - January 6, 1992
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
April 8, 1987 - June 23, 1988
AMERICAN EAGLE SECURITIES, INC.
BD
CRD#: 12973
Past
March 8, 1985 - May 6, 1987
OSAIC FS, INC.
BD
CRD#: 3870
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".
PA
PARK AVENUE SECURITIES LLC
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)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(1/13/2009)
IAR
California(7/10/2017)
RR
Colorado(1/13/2009)
IAR
Colorado(3/31/2020)
RR
Connecticut(5/9/2022)
RR
District of Columbia(4/25/2024)
RR
Florida(1/13/2009)
IAR
Florida(1/31/2014)
RR
Georgia(9/9/2025)
RR
Maryland(1/11/2022)
RR
Nebraska(10/2/2023)
RR
Nevada(9/21/2023)
IAR
Nevada(1/21/2025)
RR
New Jersey(12/15/2008)
IAR
New Jersey(12/15/2008)
RR
New York(12/15/2008)
IAR
New York(4/16/2021)
RR
North Carolina(8/9/2022)
IAR
North Carolina(8/9/2022)
RR
Pennsylvania(1/13/2009)
IAR
Pennsylvania(5/22/2020)
RR
South Carolina(6/16/2023)
IAR
South Carolina(6/16/2023)
RR
Texas(1/13/2009)
IAR
Texas(2/17/2023)
RR
Virginia(1/11/2022)
RR
Washington(11/3/2025)
IAR
Washington(11/3/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PA
PARK AVENUE SECURITIES LLC
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)BD
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
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.
Company Information
PARK AVENUE SECURITIES LLC
CRD#: 46173Shrewsbury, NJ 07702-4331TRUST BUT VERIFY
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