Gregg E. Kata
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.
Gregg Edward Kata was a registered financial professional .
Gregg is a previously registered financial professional and started their career in finance in 1995. Gregg had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2013 - December 8, 2014
PARK AVENUE SECURITIES LLC
March 22, 2013 - December 8, 2014
PARK AVENUE SECURITIES LLC
November 13, 2008 - December 9, 2011
HSBC SECURITIES (USA) INC.
November 13, 2008 - December 9, 2011
HSBC SECURITIES (USA) INC.
August 21, 2007 - November 3, 2008
NEW ENGLAND SECURITIES
June 28, 2007 - November 3, 2008
NEW ENGLAND SECURITIES
January 5, 2007 - April 24, 2007
CHASE INVESTMENT SERVICES CORP.
June 23, 2006 - April 24, 2007
CHASE INVESTMENT SERVICES CORP.
February 9, 2006 - June 28, 2006
INVESTORS BROKERAGE SERVICES, INC.
March 15, 2000 - February 14, 2006
CHASE INVESTMENT SERVICES CORP.
January 14, 1997 - March 9, 2000
REPUBLIC FINANCIAL SERVICES CORPORATION
November 24, 1995 - April 2, 1996
IDS LIFE INSURANCE COMPANY
November 24, 1995 - April 2, 1996
AMERIPRISE FINANCIAL SERVICES, LLC
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.
