CK
Craig L. Katz
PARK AVENUE SECURITIES LLC
Rye Brook, NY
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CRD#: 2952648
CK
Professional summary
Craig Lowell Katz is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Rye Brook, New York.
Craig is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Craig has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 55 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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 SERVICES (PRODUCTS OTHER THAN GUARDIAN)--I place non-guardian business with outside insurance carriers,
Start: 10/01/2004,
Address: 437 Madison Avenue, 29th floor NY, NY 10022,
8 total hours per month; 8 during securities trading hours,
Investment related,
More than 10% annual compensation,
2. Tempus Financial Group, LLC-DBA which will be used for marketing purposes,
Start: 02/04/2019,
Address: 437 Madison Avenue, 29th floor NY, NY 10022,
150 total hours per month; 150 during securities trading hours,
Investment related,
More than 10% annual compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Craig Lowell Katz's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Craig Lowell Katz'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®
NoneExperience
Current
January 19, 2017 - Present
PARK AVENUE SECURITIES LLC
Office #2: 437 Madison Avenue 29th Floor, New York, NY 10022RIA
BD
CRD#: 46173
Rye Brook, NY
Current
March 9, 2005 - Present
PARK AVENUE SECURITIES LLC
Office #1: 437 Madison Avenue 29th Floor, New York, NY 10022RIA
BD
CRD#: 46173
New York, NY
Past
April 6, 1999 - October 2, 2000
HEARTLAND SECURITIES CORP.
BD
CRD#: 43201
EDISON, NJ
Past
April 6, 1998 - January 19, 1999
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
NEW YORK, NY
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
Alaska(4/14/2020)
IAR
Alaska(4/15/2020)
RR
Arizona(7/15/2019)
IAR
Arizona(7/17/2019)
RR
California(6/30/2014)
IAR
California(1/19/2017)
RR
Colorado(2/15/2019)
IAR
Colorado(2/15/2019)
RR
Connecticut(2/26/2009)
IAR
Connecticut(1/19/2017)
RR
Delaware(6/13/2023)
IAR
Delaware(6/13/2023)
RR
District of Columbia(1/7/2021)
IAR
District of Columbia(1/13/2021)
RR
Florida(1/23/2017)
IAR
Florida(1/24/2017)
RR
Georgia(9/26/2018)
IAR
Georgia(9/26/2018)
RR
Illinois(12/8/2014)
IAR
Illinois(1/31/2017)
RR
Maryland(1/6/2016)
IAR
Maryland(8/29/2022)
RR
Massachusetts(3/18/2019)
IAR
Massachusetts(3/19/2019)
RR
Michigan(7/26/2019)
IAR
Michigan(7/30/2019)
RR
Minnesota(9/29/2021)
IAR
Minnesota(9/29/2021)
RR
Missouri(5/2/2022)
IAR
Missouri(5/2/2022)
RR
Nevada(5/1/2014)
IAR
Nevada(1/30/2017)
RR
New Hampshire(5/14/2021)
IAR
New Hampshire(5/14/2021)
RR
New Jersey(3/9/2005)
IAR
New Jersey(1/19/2017)
RR
New York(5/11/2005)
IAR
New York(4/16/2021)
RR
North Carolina(1/23/2017)
IAR
North Carolina(1/23/2017)
RR
Pennsylvania(7/19/2013)
IAR
Pennsylvania(10/5/2017)
RR
South Carolina(12/8/2021)
IAR
South Carolina(12/8/2021)
RR
Texas(1/23/2017)
IAR
Texas(1/23/2017)
RR
Utah(11/22/2021)
IAR
Utah(11/23/2021)
RR
Virginia(3/8/2019)
IAR
Virginia(3/8/2019)
RR
Washington(3/29/2022)
IAR
Washington(3/29/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 4/10/2000
Limited Representative-Equity Trader ExamSRO 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.
