Carmine A. Costello
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.
Carmine Anthony Costello was a registered financial professional .
Carmine is a previously registered financial professional and started their career in finance in 1990. Carmine had worked at 10 firms and has passed the Series 63, SIE, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2015 - February 12, 2016
PARK AVENUE SECURITIES LLC
July 29, 2010 - December 9, 2010
MSI FINANCIAL SERVICES, INC.
February 9, 2009 - April 12, 2010
MSI FINANCIAL SERVICES, INC.
December 13, 1994 - January 23, 1998
CHATFIELD DEAN & CO., INC.
March 22, 1994 - August 9, 1994
RAYMOND JAMES & ASSOCIATES, INC.
May 17, 1993 - July 16, 1993
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 13, 1993 - May 18, 1993
A. G. EDWARDS & SONS, INC.
June 5, 1992 - October 30, 1992
CHATFIELD DEAN & CO., INC.
March 13, 1992 - June 22, 1992
VESTPOINT SECURITIES, INC.
February 13, 1991 - March 13, 1992
CHATFIELD DEAN & CO., INC.
August 27, 1990 - January 1, 1991
KOBER FINANCIAL CORP.
May 8, 1990 - August 30, 1990
THE STUART-JAMES COMPANY, INCORPORATED
January 23, 1990 - May 15, 1990
BLINDER, ROBINSON & CO., INC.
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
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.
