Marianne Caswell has been President and Elected Member of Park Avenue Securities since January 2021, is a control person of the firm and directly owns under 5% of it.
Park Avenue Securities LLC is a New York, NY firm with $19.6B under management, 82,118 clients and 2,054 advisers across 544 offices, as of its September 2026 filing.
- Park Avenue Securities LLCCurrent– present · 9 yearsAdviser representative and broker · Firm CRD 46173
Investment adviser representative registrations
Marianne Caswell is registered as an investment adviser representative in New York, since April 2021.
- New YorkSince 16 April 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 1 May 2018 |
| Series 66 | Uniform Combined State Law Examination | 15 May 2017 |
| Series 7 | General Securities Representative Examination | 25 April 2017 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Marianne Grace Caswell
- CRD
- 6424651
- Firm
- Park Avenue Securities · CRD 46173
- Role
- President and Elected Member
- Registration
- Investment adviser and broker registrations
- In the industry since
- April 2017
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Marianne Caswell work?
Marianne Caswell has been President and Elected Member of Park Avenue Securities LLC since January 2021, and is a control person of the firm.
Is Marianne Caswell a financial advisor?
Yes. Marianne Caswell has a current investment-adviser registration in New York, through Park Avenue Securities since April 2017.
How many years of experience does Marianne Caswell have?
Marianne Caswell has 9 years in the financial industry, since April 2017, across 1 adviser firm.
What exams has Marianne Caswell passed?
Marianne Caswell has passed 3 licensing exams: the Series 7, Series 66 and Series 24. The earliest, the Series 7, was passed in April 2017. FINRA credited Marianne Caswell with the SIE, which began in October 2018.
Is Marianne Caswell registered with FINRA?
Yes. Marianne Caswell has a current broker registration, under CRD 6424651.
Source: FINRA BrokerCheck
How can I verify Marianne Caswell’s record?
Search CRD 6424651 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Marianne Caswell’s full registration record.
- Joseph GalloChief Compliance Officer
- Allen BoggsHead of Product & Supervision
- Kate DavarashviliFINOP/Principal Financial Officer.
- Carl DesrochersElected Member
- Joshua HerganGeneral Counsel
- Carly MaherElected Member & Head of Wealth Management Strategy and Business Operations
- Michael RynikerPrincipal Operations Officer
- Meg VecchiElected Member