LF
Lee M. Fortenberry
PARK AVENUE SECURITIES LLC
Shippensburg, PA 17257
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CRD#: 2270265
LF
Professional summary
Lee Marvin Fortenberry, CFP®, ChFC®, CLU® is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Shippensburg, Pennsylvania.
Lee is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Lee has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) FORTENBERRY INSURANCE AGENCY, INC-Owner, Start Date: 1/1/2015, Address: RIVER BEND PLACE STE A JACKSON, MS 39232, 1 total hour per month; 0 during securities trading, Investment Related, Greater than 10% Annual Compensation, 2) COACH, LEADERSHIP STEWARDSHIP, Start Date: 12/21/2016, Address: 89 Garrison Falls Dr Gettysburg, PA 17325, 6 total hours per month; 0 during securities trading, Not Investment Related, Less than 10% Annual Compensation, 3) ADJUNCT PROFESSOR- SHIPPENSBURG UNIVERSITY, Start Date: 1/22/2018, Address: 1871 OLD MAIN DRIVE, SHIPPENSBURG, PENNSYLVANIA, 17257, 6-20 hours per month; 0 during securities trading hours, Not Investment Related, Less than 10% Annual Compensation, 4) INSURANCE COMPANIES NOT AFFILIATED WITH GUARDIAN FOR SALES OF NON-VARIABLE LIFE, HEALTH, ANNUITY AND/OR DISABILITY INCOME INSURANCE PRODUCTS, Start Date: 03/11/2019, Address: 1869 Charter Lane, Suite 201, Lancaster, PA 17601, 6 total hours per month; 0 during securities trading hours, Investment Related, Less than 10% Annual Compensation, 5) AMERICAN COLLEGE INSTRUCTOR, Start Date: 4/5/2018, Address: 270 S BRYN MAWR AVE, BRYN MAWR, PENNSYLVANIA, 19010, 1 total hour per month; 0 during securities trading hours, Investment Related, Less than 10% Annual Compensation, 6) SUCCESSOR TRUSTEE FOR MOTHER AND FATHER AS DESIGNATED IN WILL, Start Date: 4/22/2023, Address: 1215 GREEN RIDGE RD., CATAULA, GA 31804, 0 TOTAL HOURS PER MONTH; 0 DURING SECURITIES TRADING, Not Investment Related, No Annual Compensation, 7) Golf Course Starter, Start Date: 4/13/2024, Address: The Links of Gettysburg, 200 Clubhouse Drive Gettysburg PA 17325, 15 total hours per month; 0 during securities trading hours, Not Investment Related, Less than 10% Annual Compensation, 8) Smart Asset Ambassador, Start Date: 8/1/2024, Address: 89 Garrison Falls Drive, Gettysburg, PA 17325, 3 total hours per month; 0 during securities trading hours, Not Investment Related, Less than 10% Annual Compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Lee Marvin Fortenberry's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lee Marvin Fortenberry'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®
CFP®
Start date: 2002
Experience
Current
March 22, 2019 - Present
PARK AVENUE SECURITIES LLC
Office #1: 1871 Old Main Dr, Shippensburg, PA 17257Office #3: 1869 Charter Lane Suite 103, Lancaster, PA 17601Office #4: 11350 Mccormick Road, Executive Plaza Iii Suite 202, Hunt Valley, MD 21031RIA
BD
CRD#: 46173
Shippensburg, PA
Current
March 22, 2019 - Present
PARK AVENUE SECURITIES LLC
Office #1: 1869 Charter Lane Suite 103, Lancaster, PA 17601Office #2: 11350 Mccormick Road, Executive Plaza Iii Suite 202, Hunt Valley, MD 21031RIA
BD
CRD#: 46173
Lancaster, PA
Past
October 30, 2002 - December 31, 2018
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
YORK, PA
Past
September 2, 1992 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
September 2, 1992 - March 15, 2019
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
YORK, PA
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
Georgia(3/22/2019)
IAR
Georgia(3/25/2019)
RR
Maryland(3/22/2019)
IAR
Maryland(3/22/2019)
RR
Pennsylvania(3/22/2019)
IAR
Pennsylvania(3/22/2019)
RR
Tennessee(6/28/2022)
RR
Virginia(3/22/2019)
IAR
Virginia(3/22/2019)
RR
West Virginia(3/22/2019)
IAR
West Virginia(4/1/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 8
Date: 12/23/1998
General Securities Sales Supervisor Examination (Options Module & General Module)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.
