JC
Jp Caswell
PARK AVENUE SECURITIES LLC
Baton Rouge, LA 70810
Some features on this profile are disabled
CRD#: 5965692
JC
Professional summary
Jp Caswell, who also goes by John Paul Caswell, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Baton Rouge, Louisiana.
Jp is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Jp has worked at 2 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
John Paul Caswell
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. Iron Horse Financial, Inc.-Guardian agency operating under the doing business as Iron Horse Financial ,
Start: 01/01/2017,
Address: 9800 Airline Hwy, Baton Rouge, LA,
Hrs per month - tot/bus: 360/160,
Investment related,
>10% annual compensation,
2. Rockabilly Ridge LLC-Owner of 52 acres of land in Branson Mo,
Start: 09/01/2019,
Address: 700 El Monte Road Branson, MO 65616,
0 hrs per month,
Investment related,
3. Caswell Investment Properties, LLC-Office building currently about to start construction on Jefferson Avenue in Baton Rouge, LA ,
Start: 011/11/2022,
Address: N/A,
2 total hours per month; 0 during securities trading hours,
Investment related,
More than 10% annual compensation,
4. The Physician's Guild, LLC-small business owner,
Nature of Business: a connection point between student loan debt & the possible grant opportunities that might exist in the marketplace,
Start date: 8/20/2025,
Address: 39460 Brighton Point Drive Ponchatoula, LA 70454,
Duties: Owner,
5 total hours per month; 0 during securities trading hours,
Not Investment related,
5. Trust Services,
Start Date: 6/22/2023,
Nature: POA for son who joined the army,
Address: Home Address,
Duties: POA for son in the event he is not able to,
0 total hours per month,
Not Investment Related,
CRS (Client Relationship Summary) - RIA
Click below to view Jp Caswell's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jp Caswell'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
November 8, 2017 - Present
PARK AVENUE SECURITIES LLC
Office #1: 10000 Perkins Rowe Suite G240, Baton Rouge, LA 70810RIA
BD
CRD#: 46173
Baton Rouge, LA
Current
August 20, 2013 - Present
PARK AVENUE SECURITIES LLC
Office #1: 10000 Perkins Rowe Suite G240, Baton Rouge, LA 70810RIA
BD
CRD#: 46173
Baton Rouge, LA
Past
May 27, 2014 - September 11, 2017
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
NEW YORK, NY
Past
September 13, 2011 - July 29, 2013
NYLIFE SECURITIES LLC
BD
CRD#: 5167
SPRINGFIELD, 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
Alabama(8/20/2013)
RR
Arizona(8/20/2013)
RR
Arkansas(8/20/2013)
RR
California(8/20/2013)
RR
Colorado(8/30/2017)
IAR
Colorado(4/12/2022)
RR
Delaware(2/21/2020)
RR
District of Columbia(6/1/2022)
IAR
District of Columbia(6/7/2022)
RR
Florida(8/20/2013)
RR
Georgia(8/20/2013)
RR
Idaho(5/22/2025)
RR
Illinois(7/11/2014)
RR
Indiana(8/20/2013)
RR
Kansas(10/5/2018)
RR
Kentucky(1/30/2024)
IAR
Kentucky(2/5/2024)
RR
Louisiana(8/21/2013)
IAR
Louisiana(11/8/2017)
RR
Maryland(5/13/2022)
RR
Massachusetts(1/8/2019)
RR
Michigan(7/1/2020)
RR
Mississippi(8/20/2013)
IAR
Mississippi(2/10/2022)
RR
Missouri(3/2/2021)
IAR
Missouri(3/2/2021)
RR
Montana(1/5/2015)
RR
Nebraska(10/5/2018)
RR
Nevada(6/23/2021)
RR
New Mexico(9/29/2021)
IAR
New Mexico(9/29/2021)
RR
New York(6/19/2019)
RR
North Carolina(8/20/2013)
RR
Ohio(9/13/2018)
RR
Oklahoma(8/20/2013)
IAR
Oklahoma(9/21/2018)
RR
Oregon(8/20/2013)
RR
Pennsylvania(6/16/2023)
RR
South Carolina(4/29/2025)
RR
Tennessee(5/29/2019)
RR
Texas(8/20/2013)
IAR
Texas(2/29/2024)
RR
Utah(3/7/2019)
RR
Virginia(8/20/2013)
RR
Washington(9/5/2013)
RR
Wisconsin(11/6/2018)
RR
Wyoming(5/2/2022)
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
PARK AVENUE SECURITIES LLC
CRD#: 46173Baton Rouge, LA 70810TRUST BUT VERIFY
Monitor Jp Caswell
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
