Robert B. Costomiris
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.
Robert Blake Costomiris was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2000. Robert had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 16, 2021 - January 5, 2022
PARK AVENUE SECURITIES LLC
January 3, 2020 - January 5, 2022
PARK AVENUE SECURITIES LLC
June 22, 2016 - December 26, 2019
ALLIED MILLENNIAL PARTNERS, LLC
August 12, 2015 - December 31, 2019
MILLENNIAL ADVISERS, LLC.
October 31, 2011 - November 5, 2015
ALLIED MILLENNIAL PARTNERS, LLC
March 23, 2010 - November 1, 2011
AEGIS CAPITAL CORP.
March 23, 2010 - November 1, 2011
AEGIS CAPITAL CORP.
October 27, 2008 - March 30, 2010
GUNNALLEN FINANCIAL, INC
September 12, 2008 - March 30, 2010
GUNNALLEN FINANCIAL, INC
April 30, 2008 - October 10, 2008
NATIONAL SECURITIES CORPORATION
January 19, 2006 - May 2, 2008
JOSEPH STEVENS & CO., INC.
November 9, 2005 - January 19, 2006
S.W. BACH & COMPANY
October 10, 2005 - January 19, 2006
S.W. BACH & COMPANY
November 24, 2004 - October 14, 2005
CHASE INVESTMENT SERVICES CORP.
June 7, 2004 - October 14, 2005
CHASE INVESTMENT SERVICES CORP.
December 17, 2002 - June 14, 2004
JOSEPH STEVENS & CO., INC.
December 4, 2002 - December 13, 2002
TD AMERITRADE, INC.
February 7, 2002 - October 10, 2002
LADENBURG CAPITAL MANAGEMENT INC.
September 25, 2001 - February 5, 2002
HARRISON SECURITIES, INC.
December 22, 2000 - October 23, 2001
LADENBURG CAPITAL MANAGEMENT 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.
