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JAMES M CASWELL III
JAMES MARVIN CASWELL III, JIM CASWELL III
CRD#: 1121524
IA
Investment Adviser
B
Broker
PARK AVENUE SECURITIES LLCCRD#: 46173 5040 ROSWELL ROAD
ATLANTA, GA 30342
Registration History
1985199019952000200520102015202020253 FIRMS1983 - 1985 (2 years)IAPARK AVENUE SECURITIES LLC (CRD# 46173)2006 - Present (18 years)BPARK AVENUE SECURITIES LLC (CRD# 46173)1999 - Present (25 years)BGUARDIAN INVESTOR SERVICES COR... (CRD# 6635)1989 - 1999 (9 years)BCADARET, GRANT & CO., INC. (CRD# 10641)1988 - 1989 (1 year)BFOCUS SECURITIES, INC. (CRD# 15023)1987 - 1988 (1 year)BFSC SECURITIES CORPORATION (CRD# 7461)1985 - 1987 (1 year)IAPEACHTREE PLANNING ADVISORS, INC. (CRD# 112787)2003 - 2007 (4 years)
Disclosure(s)
View By:
12/23/2013
Customer Dispute
Settled
License(s)

State Registrations

B
California 11/19/2013

B
Minnesota 7/3/2019

IA
California 4/22/2015

B
New Jersey 7/3/2019

B
Colorado 1/5/2000

B
North Carolina 2/22/2018

B
Florida 5/7/2003

B
Ohio 4/5/2005

IA
Florida 6/27/2006

IA
Ohio 8/9/2006

B
Georgia 5/3/1999

B
South Carolina 10/13/2015

IA
Georgia 6/26/2006

IA
South Carolina 10/13/2015

B
Illinois 3/23/2023

B
Tennessee 2/4/2019

IA
Illinois 3/23/2023

B
Texas 10/7/2013

B
Michigan 6/29/2015

B
Virginia 12/20/2007

IA
Michigan 6/29/2015

B
Washington 8/3/2012

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
PARK AVENUE SECURITIES LLC (CRD#:46173)
5040 ROSWELL ROAD, ATLANTA, GA 30342
Registered with this firm since 6/26/2006

B
PARK AVENUE SECURITIES LLC (CRD#:46173)
5040 ROSWELL ROAD, ATLANTA, GA 30342
Registered with this firm since 5/3/1999

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
05/13/2003 - 12/07/2007 PEACHTREE PLANNING ADVISORS, INC. (CRD#:112787) ATLANTA, GA
B
12/07/1989 - 05/03/1999 GUARDIAN INVESTOR SERVICES CORPORATION (CRD#:6635) NEW YORK, NY
B
10/28/1988 - 12/07/1989 CADARET, GRANT & CO., INC. (CRD#:10641) SYRACUSE, NY
B
04/30/1987 - 11/17/1988 FOCUS SECURITIES, INC. (CRD#:15023)
B
09/11/1985 - 05/12/1987 FSC SECURITIES CORPORATION (CRD#:7461)
B
04/18/1983 - 09/16/1985 IDS FINANCIAL SERVICES INC. (CRD#:6320)
B
04/18/1983 - 09/16/1985 IDS LIFE INSURANCE COMPANY (CRD#:6321)
B
04/18/1983 - 09/16/1985 IDS MARKETING CORPORATION (CRD#:6363)
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.