CP
Christopher Pike
PARK AVENUE SECURITIES LLC
FLORHAM PARK, NJ 07932
Some features on this profile are disabled
CRD#: 2166597
CP
Professional summary
Christopher Pike, who also goes by Chris Pike, Christopher Carmen Pike, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Florham Park, New Jersey.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Christopher has worked at 11 firms and has passed the Series 63, SIE, Series 87 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chris Pike | Christopher Carmen Pike
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Pike's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Christopher Pike'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®
NoneExperience
Current
July 2, 2018 - Present
PARK AVENUE SECURITIES LLC
Office #1: 25b Vreeland Road Suite 300, Florham Park, NJ 07932RIA
BD
CRD#: 46173
FLORHAM PARK, NJ
Current
June 29, 2018 - Present
PARK AVENUE SECURITIES LLC
Office #1: 25b Vreeland Road Suite 300, Florham Park, NJ 07932RIA
BD
CRD#: 46173
FLORHAM PARK, NJ
Past
November 22, 2016 - May 1, 2018
RFS PARTNERS
BD
CRD#: 18119
DENVER, CO
Past
June 25, 2013 - December 11, 2015
REALTY CAPITAL SECURITIES, LLC
BD
CRD#: 145454
NEW YORK, NY
Past
January 1, 2010 - August 1, 2011
FAGENSON & CO., INC.
BD
CRD#: 1781
NEW YORK, NY
Past
March 22, 2006 - April 13, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
September 18, 2003 - March 15, 2006
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
July 1, 2003 - September 15, 2003
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
CHARLOTTE, NC
Past
March 6, 2001 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
December 18, 2000 - February 22, 2001
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
Past
October 14, 1991 - April 12, 1994
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
October 14, 1991 - April 12, 1994
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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
Alabama(9/16/2019)
IAR
Alabama(9/16/2019)
RR
Alaska(7/18/2022)
IAR
Alaska(7/18/2022)
RR
Arizona(9/16/2019)
IAR
Arizona(9/17/2019)
RR
Arkansas(9/16/2019)
IAR
Arkansas(2/28/2024)
RR
California(10/10/2018)
IAR
California(10/11/2018)
RR
Colorado(9/16/2019)
IAR
Colorado(2/28/2024)
RR
Connecticut(10/10/2018)
IAR
Connecticut(10/10/2018)
RR
Delaware(9/16/2019)
IAR
Delaware(9/16/2019)
RR
District of Columbia(3/9/2023)
RR
Florida(10/10/2018)
IAR
Florida(2/29/2024)
RR
Georgia(9/16/2019)
IAR
Georgia(9/17/2019)
RR
Hawaii(9/16/2019)
IAR
Hawaii(2/28/2024)
RR
Idaho(9/16/2019)
IAR
Idaho(9/16/2019)
RR
Illinois(9/16/2019)
IAR
Illinois(9/16/2019)
RR
Indiana(9/16/2019)
IAR
Indiana(9/16/2019)
RR
Iowa(9/16/2019)
IAR
Iowa(9/16/2019)
RR
Kansas(10/10/2023)
IAR
Kansas(10/10/2023)
RR
Kentucky(3/11/2025)
IAR
Kentucky(3/11/2025)
RR
Louisiana(9/16/2019)
IAR
Louisiana(9/16/2019)
RR
Maine(9/16/2019)
IAR
Maine(9/16/2019)
RR
Maryland(9/16/2019)
IAR
Maryland(2/28/2024)
RR
Massachusetts(9/16/2019)
IAR
Massachusetts(9/17/2019)
RR
Michigan(9/16/2019)
IAR
Michigan(2/28/2024)
RR
Minnesota(9/16/2019)
IAR
Minnesota(9/16/2019)
RR
Mississippi(7/28/2022)
IAR
Mississippi(2/28/2024)
RR
Missouri(9/16/2019)
IAR
Missouri(9/16/2019)
RR
Montana(9/16/2019)
IAR
Montana(9/16/2019)
RR
Nebraska(9/16/2019)
IAR
Nebraska(9/16/2019)
RR
Nevada(9/16/2019)
IAR
Nevada(3/4/2024)
RR
New Hampshire(4/27/2021)
IAR
New Hampshire(4/27/2021)
RR
New Jersey(6/29/2018)
IAR
New Jersey(7/2/2018)
RR
New Mexico(8/31/2023)
IAR
New Mexico(8/31/2023)
RR
New York(10/9/2018)
IAR
New York(4/16/2021)
RR
North Carolina(9/16/2019)
IAR
North Carolina(9/16/2019)
RR
North Dakota(9/16/2019)
IAR
North Dakota(3/5/2024)
RR
Ohio(9/16/2019)
IAR
Ohio(9/16/2019)
RR
Oklahoma(9/16/2019)
IAR
Oklahoma(2/28/2024)
RR
Oregon(9/16/2019)
IAR
Oregon(2/28/2024)
RR
Pennsylvania(10/9/2018)
IAR
Pennsylvania(10/9/2018)
RR
Puerto Rico(6/2/2023)
IAR
Puerto Rico(6/2/2023)
RR
Rhode Island(8/17/2020)
IAR
Rhode Island(8/17/2020)
RR
South Carolina(9/16/2019)
IAR
South Carolina(2/28/2024)
RR
South Dakota(11/12/2024)
IAR
South Dakota(11/13/2024)
RR
Tennessee(9/16/2019)
RR
Texas(9/16/2019)
IAR
Texas(9/16/2019)
RR
Utah(9/16/2019)
IAR
Utah(9/16/2019)
RR
Vermont(9/16/2019)
IAR
Vermont(2/29/2024)
RR
Virginia(9/16/2019)
IAR
Virginia(9/16/2019)
RR
Washington(9/16/2019)
IAR
Washington(9/16/2019)
RR
West Virginia(9/16/2019)
IAR
West Virginia(9/26/2019)
RR
Wisconsin(9/16/2019)
IAR
Wisconsin(2/28/2024)
RR
Wyoming(9/16/2019)
IAR
Wyoming(9/16/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO 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.
