LV
Lisa A. Valli-steliotes
PARK AVENUE SECURITIES LLC
Pittsburgh, PA 15222
Some features on this profile are disabled
CRD#: 1153866
LV
Professional summary
Lisa A Valli-steliotes, CFP®, who also goes by Lisa Andrea Steliotes, Lisa A Valli, Lisa Andrea Valli, Usa A Valli, Lisa Andrea Valli-steliotes, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Pittsburgh, Pennsylvania.
Lisa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Lisa has worked at 8 firms and has passed the Series 63, SIE and Series 2 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lisa Andrea Steliotes | Lisa A Valli | Lisa Andrea Valli | Usa A Valli | Lisa Andrea Valli-Steliotes
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. LOUIS E. VALLI IRREVOCABLE INSURANCE TRUST-trustee for my brother's life insurance trust Start: 02/12/2008 Address: NA 0 hrs per month Investment related 2. Author- write stories and possibly a novel in the fiction and romance area. Start: 12/01/2020 Address: 214 Abbey Brook Lane Venetia PA 15367 4 total hours per month, 0 during securities trading hours Not investment related No annual compensation
CRS (Client Relationship Summary) - RIA
Click below to view Lisa A Valli-steliotes's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lisa A Valli-steliotes'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®
Experience
Current
April 5, 2011 - Present
PARK AVENUE SECURITIES LLC
Office #1: 244 Blvd. Of Allies, Pittsburgh, PA 15222RIA
BD
CRD#: 46173
Pittsburgh, PA
Current
May 3, 1999 - Present
PARK AVENUE SECURITIES LLC
Office #1: 244 Blvd. Of Allies, Pittsburgh, PA 15222RIA
BD
CRD#: 46173
Pittsburgh, PA
Past
August 31, 1995 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
January 3, 1991 - January 3, 1995
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
Past
February 12, 1987 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
BD
CRD#: 10293
Past
February 12, 1987 - July 6, 1990
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
February 12, 1987 - July 6, 1990
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
November 16, 1983 - November 21, 1986
AETNA FINANCIAL SERVICES, INC.
BD
CRD#: 13255
Past
June 19, 1983 - March 6, 1987
AETNA LIFE INSURANCE AND ANNUITY COMPANY
BD
CRD#: 13256
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
California(5/3/1999)
RR
Florida(1/30/2015)
RR
Indiana(1/27/2022)
RR
New Hampshire(6/12/2024)
RR
New York(1/6/2011)
RR
North Carolina(1/6/2011)
RR
Ohio(5/3/1999)
RR
Pennsylvania(5/3/1999)
IAR
Pennsylvania(4/5/2011)
RR
Texas(10/8/2018)
RR
Utah(6/11/2024)
RR
West Virginia(1/27/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 2
Date: 8/12/1980
Non-Member General Securities ExaminationSRO 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.
