AK
Asghar A. Kazim
PARK AVENUE SECURITIES LLC
New York, NY 10017
Some features on this profile are disabled
CRD#: 2724037
AK
Professional summary
Asghar A Kazim, CFP®, ChFC®, CLU®, who also goes by Oscar Kazim, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in New York, New York.
Asghar is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Asghar has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Oscar Kazim
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. Insurance outside of Guardian-Insurance sales sold outside of Guardian,
Start: 06/01/1994,
Address: 4301 US 1 South Monmouth Junction NJ 08852,
40 bus hrs per month,
Investment related,
2. UNITED WEALTH GROUP LLC-Group Life and Health Insurance,
Start: 06/01/1994,
Address: 4301 Us 1 South Suite 220 Monmouth Junction NJ 08852,
20 bus hrs per month,
Investment related,
3. Shree Sai Siddhi Stadium LLC-Hotel/Motel Property; LLC member; Passive Investor,
Start: 03/15/2018,
Address: 1701 Russell St, Baltimore, MD 21230,
0 hrs per month,
Investment related,
4) MSS Real Estate LLC-Real Estate property,
Start: 06/01/2020,
Address: 929 Broadway, Bayonne, NJ 07002,
1 total hour per month; 0 during securities trading hours,
Investment related,
no compensation,
5) UWG Realty Management LLC-rental property,
Start: 06/01/2020,
Address: 3171 Cypress CT, Monmouth Junction, NJ 08852,
1 total hour per month; 0 during securities trading hours,
Investment related,
No annual compensation,
6) Kazim Financial Group LLC-insurance sales,
Start: 02/01/2022,
Address: 8 Danton Ct Kendall Park NJ 08824,
10 total hour per month; 10 during securities trading hours,
Investment related,
Less than 10% annual compensation,
7) Shree Sai Siddhi Broad LLC-Partial owner of real estate,
Start: 12/01/2019,
Address: 9000 Lincoln Drive East Ste 304 Marlton NJ 08053,
1 total hour per month; 1 during securities trading hours,
Investment related,
Less than 10% annual compensation,
8) Board Membership APF-American Pakistan Foundation (APF),
Start: 09/08/2025,
Address: P.O Box 994, Englewood Cliffs, NJ, 07632,,
2 total hour per month; 2 during securities trading hours,
Not investment related,
No annual compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Asghar A Kazim's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Asghar A Kazim'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: 2016
Experience
Current
September 27, 2005 - Present
PARK AVENUE SECURITIES LLC
Office #1: 355 Lexington Ave 9th Floor, New York, NY 10017Office #2: 4478 Route 27 Suite 203, Kingston, NJ 08528RIA
BD
CRD#: 46173
New York, NY
Current
September 12, 2005 - Present
PARK AVENUE SECURITIES LLC
Office #1: 355 Lexington Ave 9th Floor, New York, NY 10017Office #2: 4478 Route 27 Suite 203, Kingston, NJ 08528RIA
BD
CRD#: 46173
New York, NY
Past
June 1, 2005 - September 6, 2005
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
WOODBRIDGE, NJ
Past
August 15, 2002 - September 6, 2005
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
June 4, 1996 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
June 4, 1996 - August 16, 2002
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
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
Alabama(11/15/2018)
IAR
Alabama(11/15/2018)
RR
Arizona(2/13/2012)
IAR
Arizona(12/5/2016)
RR
Arkansas(8/5/2013)
RR
California(9/12/2005)
IAR
California(8/4/2017)
RR
Colorado(1/25/2021)
RR
Connecticut(9/12/2005)
IAR
Connecticut(10/19/2017)
RR
Delaware(9/12/2005)
IAR
Delaware(9/27/2005)
RR
District of Columbia(9/12/2005)
RR
Florida(10/17/2005)
IAR
Florida(12/16/2022)
RR
Georgia(9/12/2005)
IAR
Georgia(9/9/2021)
RR
Illinois(3/14/2008)
IAR
Illinois(2/29/2024)
RR
Indiana(7/23/2019)
RR
Iowa(2/18/2015)
RR
Louisiana(9/17/2021)
IAR
Louisiana(9/17/2021)
RR
Maine(4/18/2025)
IAR
Maine(4/18/2025)
RR
Maryland(9/12/2005)
IAR
Maryland(4/18/2016)
RR
Massachusetts(6/17/2011)
IAR
Massachusetts(7/24/2019)
RR
Michigan(9/2/2021)
IAR
Michigan(9/2/2021)
RR
Mississippi(9/19/2024)
RR
Missouri(2/13/2025)
IAR
Missouri(2/13/2025)
RR
Nevada(1/5/2015)
IAR
Nevada(8/11/2020)
RR
New Hampshire(10/24/2023)
IAR
New Hampshire(10/24/2023)
RR
New Jersey(9/12/2005)
IAR
New Jersey(9/27/2005)
RR
New York(9/12/2005)
IAR
New York(4/16/2021)
RR
North Carolina(7/8/2015)
IAR
North Carolina(7/8/2015)
RR
Ohio(12/7/2016)
IAR
Ohio(12/7/2016)
RR
Oklahoma(2/22/2012)
RR
Pennsylvania(9/20/2005)
IAR
Pennsylvania(10/5/2016)
RR
South Carolina(6/16/2010)
IAR
South Carolina(10/7/2024)
RR
Texas(11/19/2009)
IAR
Texas(4/9/2014)
RR
Vermont(9/27/2023)
IAR
Vermont(9/27/2023)
RR
Virginia(9/12/2005)
IAR
Virginia(9/19/2017)
RR
Washington(1/8/2020)
RR
Wisconsin(3/22/2021)
IAR
Wisconsin(3/22/2021)
RR
Wyoming(1/11/2024)
IAR
Wyoming(1/11/2024)
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.
