Gaye Lowenstein
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.
Gaye Lowenstein, who also goes by Gaye Lowenstein, was a registered financial professional .
Gaye is a previously registered financial professional and started their career in finance in 1998. Gaye had worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, 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
March 7, 2024 - March 31, 2025
PARK AVENUE SECURITIES LLC
March 7, 2024 - March 31, 2025
PARK AVENUE SECURITIES LLC
April 24, 2023 - February 26, 2024
MML INVESTORS SERVICES, LLC
April 3, 2023 - February 26, 2024
MML INVESTORS SERVICES, LLC
December 10, 2020 - April 11, 2023
EAGLE STRATEGIES LLC
May 6, 2020 - April 11, 2023
NYLIFE SECURITIES LLC
September 25, 2008 - July 16, 2009
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 16, 2004 - November 18, 2004
CITY NATIONAL SECURITIES, INC.
September 17, 2003 - November 18, 2004
CITY NATIONAL SECURITIES, INC.
August 24, 2000 - September 3, 2003
COMMONWEALTH FINANCIAL NETWORK
June 16, 2000 - September 3, 2003
COMMONWEALTH FINANCIAL NETWORK
January 9, 1998 - May 31, 2000
A. G. EDWARDS & SONS, 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
Series 7TO
Date: 8/31/2020
General Securities Representative ExaminationSeries 6TO
Date: 5/6/2020
Investment Company Products/Variable Contracts Representative ExaminationCurrent 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.
