AK
Arjun Kapoor
PARK AVENUE SECURITIES LLC
Kingston, NJ 08528
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CRD#: 6078629
AK
Professional summary
Arjun Kapoor, who also goes by Arjun Kapoor, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Kingston, New Jersey.
Arjun is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Arjun has worked at 3 firms and has passed the Series 66, Series 3, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Arjun Kapoor
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) Jersey Ventures LLC-Co-owner of LLC.,
Start date: 01/13/2025,
Address: 47 Margaret Drive Somerset NJ 08773,
1 total hour per month; 0 during securities trading hours,
Investment related,
Less than 10% annual compensation,
2) Non-Guardian Insurance Products,
Start date: 8/20/2025,
Address: 4478 Route 27 Suite 203 Kingston NJ 08528,
10 total hours per month; 10 during securities trading hours,
Investment related,
Less than 10% annual compensation,
3) 295 BWAY BAYONNE LLC-owner,
Nature of Business: real estate activity,
Start date: 11/07/2025,
Address: 47 Margaret Drive Somerset NJ 08873,
Duties: rental property,
4 total hours per month; 0 during securities trading hours,
Investment related,
CRS (Client Relationship Summary) - RIA
Click below to view Arjun Kapoor's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Arjun Kapoor'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
July 3, 2023 - Present
PARK AVENUE SECURITIES LLC
Office #1: 4478 Route 27 Suite 203, Kingston, NJ 08528RIA
BD
CRD#: 46173
Kingston, NJ
Current
June 23, 2023 - Present
PARK AVENUE SECURITIES LLC
Office #1: 4478 Route 27 Suite 203, Kingston, NJ 08528RIA
BD
CRD#: 46173
Kingston, NJ
Past
February 23, 2018 - June 3, 2022
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
Past
March 27, 2017 - February 2, 2018
IDB CAPITAL CORP.
BD
CRD#: 106032
NEW YORK, NY
Past
August 24, 2015 - November 2, 2016
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
BOSTON, MA
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
Arizona(4/11/2025)
IAR
Arizona(4/11/2025)
RR
California(3/8/2024)
IAR
California(3/8/2024)
RR
Colorado(12/9/2024)
RR
Connecticut(1/4/2024)
IAR
Connecticut(1/4/2024)
RR
Florida(7/2/2025)
IAR
Florida(7/7/2025)
RR
Illinois(1/4/2024)
IAR
Illinois(1/4/2024)
RR
Maryland(3/6/2025)
IAR
Maryland(3/6/2025)
RR
New Jersey(6/23/2023)
IAR
New Jersey(7/3/2023)
RR
New York(7/11/2023)
IAR
New York(7/11/2023)
RR
North Carolina(9/13/2024)
RR
Pennsylvania(11/26/2024)
RR
Texas(3/4/2024)
IAR
Texas(3/4/2024)
RR
Vermont(12/9/2024)
RR
Virginia(3/18/2025)
IAR
Virginia(3/18/2025)
RR
Wyoming(1/10/2024)
IAR
Wyoming(1/10/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
Company Information
PARK AVENUE SECURITIES LLC
CRD#: 46173Kingston, NJ 08528TRUST BUT VERIFY
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