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Detailed Report
JP CASWELL
JOHN PAUL CASWELL
CRD#: 5965692
IA
Investment Adviser
B
Broker
PARK AVENUE SECURITIES LLCCRD#: 46173 10000 PERKINS ROWE
SUITE G240
BATON ROUGE, LA 70810
Registration History
20122014201620182020202220242026IAPARK AVENUE SECURITIES LLC (CRD# 46173)2017 - Present (7 years)BPARK AVENUE SECURITIES LLC (CRD# 46173)2013 - Present (11 years)BNYLIFE SECURITIES LLC (CRD# 5167)2011 - 2013 (1 year)IAPARK AVENUE SECURITIES LLC (CRD# 46173)2014 - 2017 (3 years)
License(s)

State Registrations

B
Alabama 8/20/2013
B
Missouri 3/2/2021
B
Arizona 8/20/2013
IA
Missouri 3/2/2021
B
Arkansas 8/20/2013
B
Montana 1/5/2015
B
California 8/20/2013
B
Nebraska 10/5/2018
B
Colorado 8/30/2017
B
Nevada 6/23/2021
IA
Colorado 4/12/2022
B
New Mexico 9/29/2021
B
Delaware 2/21/2020
IA
New Mexico 9/29/2021
B
District of Columbia 6/1/2022
B
New York 6/19/2019
IA
District of Columbia 6/7/2022
B
North Carolina 8/20/2013
B
Florida 8/20/2013
B
Ohio 9/13/2018
B
Georgia 8/20/2013
B
Oklahoma 8/20/2013
B
Illinois 7/11/2014
IA
Oklahoma 9/21/2018
B
Indiana 8/20/2013
B
Oregon 8/20/2013
B
Kansas 10/5/2018
B
Pennsylvania 6/16/2023
B
Kentucky 1/30/2024
B
Tennessee 5/29/2019
IA
Kentucky 2/5/2024
B
Texas 8/20/2013
B
Louisiana 8/21/2013
IA
Texas 2/29/2024
IA
Louisiana 11/8/2017
B
Utah 3/7/2019
B
Maryland 5/13/2022
B
Virginia 8/20/2013
B
Massachusetts 1/8/2019
B
Washington 9/5/2013
B
Michigan 7/1/2020
B
Wisconsin 11/6/2018
B
Mississippi 8/20/2013
B
Wyoming 5/2/2022
IA
Mississippi 2/10/2022

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
PARK AVENUE SECURITIES LLC (CRD#:46173)
10000 PERKINS ROWE SUITE G240, BATON ROUGE, LA 70810
Registered with this firm since 11/8/2017
B
PARK AVENUE SECURITIES LLC (CRD#:46173)
10000 PERKINS ROWE SUITE G240, BATON ROUGE, LA 70810
Registered with this firm since 8/20/2013
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 05/27/2014 - 09/11/2017 PARK AVENUE SECURITIES LLC (CRD#:46173) NEW YORK, NY
B
 09/13/2011 - 07/29/2013 NYLIFE SECURITIES LLC (CRD#:5167) SPRINGFIELD, MO
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.