Jo A. Casady

PARK AVENUE SECURITIES LLC

New York, NY 10001

Some features on this profile are disabled

CRD#: 1859144

Professional summary

Jo Ann Casady, CFP®, who also goes by Jo Ann Davis, is a registered financial professional currently at PARK AVENUE SECURITIES LLC located in New York, New York.

Jo is registered as a RR (Registered Representative) and started their career in finance in 1988. Jo has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jo Ann Davis

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jo Ann Casady's CRS (Customer Relationship Summary).

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^®

Certified Financial Planner

Experience

Current

May 26, 2018 - Present

PARK AVENUE SECURITIES LLC

Office #1: 10 Hudson Yards, New York, NY 10001

RIA

CRD#: 46173

New York, NY

Past

February 26, 2013 - June 7, 2017

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

HOUSTON, TX

Past

September 28, 2009 - January 11, 2013

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

HOUSTON, TX

Past

September 2, 2009 - January 11, 2013

PARK AVENUE SECURITIES LLC

CRD#: 46173

HOUSTON, TX

Past

February 22, 2001 - July 23, 2009

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

HOUSTON, TX

Past

February 22, 2001 - July 23, 2009

PRUCO SECURITIES, LLC.

CRD#: 5685

HOUSTON, TX

Past

December 12, 2000 - December 13, 2000

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

July 12, 1999 - February 6, 2001

WELLS FARGO SECURITIES INC.

CRD#: 17438

SAN FRANCISCO, CA

Past

August 26, 1997 - July 12, 1999

ARK FUNDS DISTRIBUTORS, LLC

CRD#: 17685

PORTLAND, ME

Past

August 19, 1996 - May 30, 1997

WELLS FARGO SECURITIES INC.

CRD#: 17438

SAN FRANCISCO, CA

Past

September 18, 1995 - August 19, 1996

FIRST INTERSTATE INVESTMENTS,INC.

CRD#: 17101

Past

October 17, 1994 - May 18, 1995

PFIC SECURITIES CORPORATION

CRD#: 34941

FRANKLIN, TN

Past

June 28, 1990 - September 27, 1991

UNITED PACIFIC FINANCIAL SERVICES, INC.

CRD#: 21632

Past

August 29, 1988 - January 12, 1990

UNITED PACIFIC FINANCIAL SERVICES, INC.

CRD#: 21632

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.

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

Alabama
(7/22/2019)

Connecticut
(7/22/2019)

Delaware
(7/22/2019)

District of Columbia
(7/22/2019)

Florida
(7/22/2019)

Georgia
(7/22/2019)

Indiana
(7/22/2019)

Kentucky
(7/22/2019)

Maine
(7/22/2019)

Maryland
(7/22/2019)

Massachusetts
(7/22/2019)

Michigan
(7/22/2019)

Mississippi
(7/22/2019)

New Hampshire
(7/22/2019)

New Jersey
(7/22/2019)

New York
(7/22/2019)

North Carolina
(7/22/2019)

Ohio
(7/22/2019)

Pennsylvania
(7/22/2019)

Rhode Island
(7/22/2019)

South Carolina
(7/22/2019)

Tennessee
(7/22/2019)

Texas
(5/26/2018)

Vermont
(7/22/2019)

Virginia
(7/22/2019)

West Virginia
(7/22/2019)

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

IAR

Series 65

Date: 5/25/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/27/1995

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: 4/25/1995

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/24/1994

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 51

Date: 6/3/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 12/22/1995

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/4/1995

General Securities Principal Examination

SRO Registrations

FINRA

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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jo A. Casady

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jo Ann Casady's CRS (Customer Relationship Summary).

Certified licenses

Experience

VOYA FINANCIAL ADVISORS, INC.

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO SECURITIES INC.

ARK FUNDS DISTRIBUTORS, LLC

WELLS FARGO SECURITIES INC.

FIRST INTERSTATE INVESTMENTS,INC.

PFIC SECURITIES CORPORATION

UNITED PACIFIC FINANCIAL SERVICES, INC.

UNITED PACIFIC FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

PARK AVENUE SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/25/2001

Series 63

Date: 10/27/1995

SIE

Date: 10/1/2018

Series 7

Date: 4/25/1995

Series 6

Date: 8/24/1994

Series 51

Date: 6/3/2003

Series 53

Date: 12/22/1995

Series 24

Date: 5/4/1995

FINRA

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

Similar Advisors