CC
Craig L. Castner
PARK AVENUE SECURITIES LLC
Basking Ridge, NJ
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CRD#: 4417796
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Professional summary
Craig L Castner, who also goes by Craig Lawrence Caster, Craig L. Castner, Craig Lawrence Castner, Craig L Castner, Craig Castner, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Basking Ridge, New Jersey.
Craig is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Craig has worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Craig Lawrence Caster | Craig L. Castner | Craig Lawrence Castner | Craig L Castner | Craig Castner
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) Actuarial Retirement Services LLC - Set up and maintain 401k plans for their small business owners, Start: 10/01/2024, Address: 5 Lyons Mall Suite 110 Basking Ridge, NJ 07920, 40 total hours per month, 40 during securities trading hours, Greater than 10% annual compensation, Not investment related,
CRS (Client Relationship Summary) - RIA
Click below to view Craig L Castner's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Craig L Castner'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
October 17, 2024 - Present
PARK AVENUE SECURITIES LLC
Office #2: 50 Tice Blvd Suite 280, Woodcliff Lake, NJ 07677RIA
BD
CRD#: 46173
Basking Ridge, NJ
Current
February 22, 2023 - Present
PARK AVENUE SECURITIES LLC
Office #1: 50 Tice Blvd Suite 280, Woodcliff Lake, NJ 07677RIA
BD
CRD#: 46173
Woodcliff Lake, NJ
Past
February 19, 2021 - February 21, 2023
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
FAIRFIELD, NJ
Past
January 7, 2020 - February 23, 2021
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
VERONA, NJ
Past
September 21, 2018 - December 31, 2019
GROVE POINT INVESTMENTS, LLC
BD
CRD#: 1763
VERONA, NJ
Past
July 18, 2017 - January 16, 2018
LPL FINANCIAL LLC
BD
CRD#: 6413
BRIDGEWATER, NJ
Past
April 17, 2012 - May 2, 2017
CAPITAL CLIENT GROUP, INC.
BD
CRD#: 6247
LOS ANGELES, CA
Past
January 24, 2011 - March 26, 2012
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
NEW YORK, NY
Past
December 13, 2001 - October 28, 2010
ADP BROKER-DEALER, INC.
BD
CRD#: 37693
AURORA, CO
Past
July 2, 2001 - November 27, 2001
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
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
California(3/14/2025)
RR
Connecticut(3/14/2025)
RR
Delaware(3/14/2025)
RR
District of Columbia(4/7/2025)
RR
Florida(8/22/2024)
RR
Illinois(2/24/2025)
RR
New Jersey(2/22/2023)
IAR
New Jersey(10/17/2024)
RR
New York(2/22/2023)
RR
Pennsylvania(3/14/2025)
RR
South Carolina(8/18/2023)
RR
Tennessee(3/24/2025)
Exams
State Security Law 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.
