CT
Christopher J. Tortora
PARK AVENUE SECURITIES LLC
White Plains, NY
Some features on this profile are disabled
CRD#: 2398858
CT
Professional summary
Christopher J Tortora, who also goes by Christopher James Tortora, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in White Plains, New York.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Christopher has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 25 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Christopher James Tortora
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. Term and universal life insurance
Term and universal life insurance
Start: 03/24/2020
Address: 800 Westchester Ave Ste 409N
Rye Brook, NY 10573
5 non bus hrs per month
Investment related
CRS (Client Relationship Summary) - RIA
Click below to view Christopher J Tortora's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Christopher J Tortora'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
November 2, 2020 - Present
PARK AVENUE SECURITIES LLC
Office #2: 1075 Route 112, Port Jefferson Station, NY 11776Office #3: 800 Westchester Avenue 4th Floor Suite N409, Rye Brook, NY 10573RIA
BD
CRD#: 46173
White Plains, NY
Current
January 6, 2020 - Present
PARK AVENUE SECURITIES LLC
Office #1: 1075 Route 112, Port Jefferson Station, NY 11776Office #2: 800 Westchester Avenue 4th Floor Suite N409, Rye Brook, NY 10573RIA
BD
CRD#: 46173
PORT JEFFERSON STATION, NY
Past
January 3, 2011 - October 28, 2019
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
MELVILLE, NY
Past
December 3, 2007 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
MELVILLE, NY
Past
May 29, 2001 - January 11, 2007
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
NEW YORK, NY
Past
August 2, 1999 - June 5, 2001
PIPER SANDLER & CO.
BD
CRD#: 665
MINNEAPOLIS, MN
Past
December 8, 1998 - August 31, 1999
BNY CLEARING SERVICES LLC
BD
CRD#: 15879
MILWAUKEE, WI
Past
March 23, 1998 - November 16, 1998
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
June 23, 1997 - February 9, 1998
GKN SECURITIES CORP.
BD
CRD#: 19415
NEW YORK, NY
Past
October 17, 1996 - June 23, 1997
FIRST UNITED EQUITIES CORPORATION
BD
CRD#: 36398
NEW YORK, NY
Past
January 18, 1995 - October 23, 1996
INVESTORS ASSOCIATES, INC.
BD
CRD#: 958
HACKENSACK, NJ
Past
February 22, 1994 - July 20, 1994
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
September 21, 1993 - January 17, 1994
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
September 21, 1993 - January 17, 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
Colorado(11/15/2024)
RR
Connecticut(3/8/2021)
IAR
Connecticut(3/8/2021)
RR
Delaware(11/10/2021)
IAR
Delaware(11/10/2021)
RR
Florida(2/5/2020)
IAR
Florida(11/24/2020)
RR
Massachusetts(8/17/2023)
IAR
Massachusetts(10/8/2025)
RR
New Jersey(2/5/2020)
IAR
New Jersey(12/3/2020)
RR
New York(1/21/2020)
IAR
New York(4/16/2021)
IAR
North Carolina(8/16/2023)
RR
North Carolina(8/17/2023)
RR
South Carolina(8/7/2020)
IAR
South Carolina(11/2/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 25
Date: 8/17/1999
NYSE Trading Assistant ExaminationGeneral 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
