Christopher S. Seebeck

PARK AVENUE SECURITIES LLC

NAPLES, FL 34108

Some features on this profile are disabled

CRD#: 2598101

Professional summary

Christopher Scott Seebeck, who also goes by Christopher S Seebeck, Christopher Seebeck, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Naples, Florida.

Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Christopher has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 31, Series 7, Series 24, Series 23, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Christopher S Seebeck | Christopher Seebeck

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Scott Seebeck's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Christopher Scott Seebeck's CRS (Customer Relationship Summary).

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®

None

Experience

Current

April 14, 2025 - Present

PARK AVENUE SECURITIES LLC

Office #1: 5811 Pelican Bay Boulevard Suite 302, Naples, FL 34108

RIA

CRD#: 46173

NAPLES, FL

Current

April 11, 2025 - Present

PARK AVENUE SECURITIES LLC

Office #1: 5811 Pelican Bay Boulevard Suite 302, Naples, FL 34108

RIA

CRD#: 46173

NAPLES, FL

Past

March 22, 2024 - March 19, 2025

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

Naples, FL

Past

March 21, 2024 - March 19, 2025

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Naples, FL

Past

May 18, 2022 - June 26, 2023

FIRST FOUNDATION ADVISORS

RIA

CRD#: 106075

NAPLES, FL

Past

November 6, 2019 - April 25, 2022

LPL FINANCIAL LLC

RIA

CRD#: 6413

NAPLES, FL

Past

November 6, 2019 - April 25, 2022

LPL FINANCIAL LLC

CRD#: 6413

NAPLES, FL

Past

June 13, 2016 - April 13, 2018

FIFTH THIRD SECURITIES, INC.

RIA

CRD#: 628

NAPLES, FL

Past

June 8, 2016 - April 13, 2018

FIFTH THIRD SECURITIES, INC.

CRD#: 628

NAPLES, FL

Past

August 5, 2014 - April 29, 2016

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

FORT MYERS, FL

Past

August 4, 2014 - April 29, 2016

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

FORT MYERS, FL

Past

June 25, 2014 - August 8, 2014

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

NAPLES, FL

Past

March 28, 2014 - August 8, 2014

PARK AVENUE SECURITIES LLC

CRD#: 46173

NAPLES, FL

Past

November 2, 2000 - November 21, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NAPLES, FL

Past

June 5, 1998 - November 21, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NAPLES, FL

Past

September 27, 1996 - June 24, 1998

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

May 17, 1995 - October 8, 1996

COMMONWEALTH ASSOCIATES

CRD#: 20833

NEW YORK, NY

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".

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)

Broker-Dealer Firm Regulated by FINRA (New York district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Florida
(4/11/2025)

IAR

Florida
(4/14/2025)

Michigan
(10/9/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/10/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/23/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/13/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 7/22/2013

National Commodity Futures Examination

General Industry/Product Exam

Series 31

Date: 12/5/2006

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/16/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/2/2023

General Securities Principal Examination

Principal/Supervisory Exam

Series 23

Date: 6/29/2016

General Securities Principal Sales Supervisor

Principal/Supervisory Exam

Series 10

Date: 7/21/2006

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 5/24/2006

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

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)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PAS FORM ADV REVISED FIRM BROCHURE (3/19/2025)

VESTWISE (3/19/2025)

PARK AVENUE UMA/SMA SELECT AND STRATEGIST SELECT/STRATEGIST SELECT PLUS (3/19/2025)

PARK AVENUE SIGNATURE PORTFOLIO (3/19/2025)

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	Cover Page	Report
01/22/2025	Cover Page	Report
11/15/2023	Cover Page	Report

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.

Similar Advisors

Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

IAR

Estero, FL

Blake Feldmann

INTEGRATED ADVISORS NETWORK LLC

IAR

Naples, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Christopher S. Seebeck

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Scott Seebeck's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Christopher Scott Seebeck's CRS (Customer Relationship Summary).

Certified licenses

Experience

PARK AVENUE SECURITIES LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

FIRST FOUNDATION ADVISORS

LPL FINANCIAL LLC

LPL FINANCIAL LLC

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

PRUDENTIAL EQUITY GROUP, LLC

COMMONWEALTH ASSOCIATES

Primary Firm SEC Registration

PARK AVENUE SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/10/1996

Series 63

Date: 5/23/1995

SIE

Date: 4/13/2018

Series 3

Date: 7/22/2013

Series 31

Date: 12/5/2006

Series 7

Date: 5/16/1995

Series 24

Date: 1/2/2023

Series 23

Date: 6/29/2016

Series 10

Date: 7/21/2006

Series 9

Date: 5/24/2006

FINRA

Current Firm

PARK AVENUE SECURITIES LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

PARK AVENUE SECURITIES LLC

TRUST BUT VERIFY

Similar Advisors