Charles A. Golden
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.
Charles A Golden, who also goes by Charles Alan Golden, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1976. Charles had worked at 13 firms and has passed the Series 63, Series 7TO, SIE, Series 5, PC, Series 7, Series 24, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 31, 2015 - April 17, 2020
PARK AVENUE SECURITIES LLC
January 9, 2002 - March 31, 2015
GUARDIAN INVESTOR SERVICES LLC
April 16, 1998 - May 9, 2001
BARCLAYS CAPITAL INC.
July 25, 1987 - June 24, 1996
MORGAN STANLEY MARKET PRODUCTS INC.
September 6, 1984 - March 4, 1998
MORGAN STANLEY & CO. LLC
May 7, 1984 - September 28, 1984
BECKER PARIBAS INCORPORATED
October 28, 1980 - September 11, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 9, 1980 - October 26, 1980
STUART BROTHERS
January 31, 1980 - May 23, 1980
UBS FINANCIAL SERVICES INC.
August 24, 1979 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
May 17, 1978 - August 30, 1979
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
November 17, 1976 - June 1, 1978
SHEARSON HAYDEN STONE INC.
October 21, 1976 - November 17, 1976
SHEARSON HAYDEN STONE 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
Series 7TO
Date: 12/22/2022
General Securities Representative ExaminationSeries 5
Date: 10/16/1981
Interest Rate Options ExaminationPC
Date: 10/20/1980
AMEX Put and Call ExamSeries 8
Date: 1/31/1995
General Securities Sales Supervisor Examination (Options Module & General Module)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.
