AC
Alisa Chatham
PARK AVENUE SECURITIES
Sacramento, CA 95826
Some features on this profile are disabled
CRD#: 2913395
AC
Professional summary
Alisa Chatham, who also goes by Alisa Susanne Chatham, Alisa Chatham Sakowitz, Alisa Chatham Sakowitz, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Sacramento, California.
Alisa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Alisa has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Alisa Susanne Chatham | Alisa Chatham Sakowitz | Alisa Chatham Sakowitz
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 Alisa Chatham's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Alisa Chatham'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
October 17, 2014 - Present
PARK AVENUE SECURITIES LLC
Office #1: 20 Bicentennial Circle Suite 100, Sacramento, CA 95826RIA
BD
CRD#: 46173
Sacramento, CA
Current
October 17, 2014 - Present
PARK AVENUE SECURITIES LLC
Office #1: 20 Bicentennial Circle Suite 100, Sacramento, CA 95826RIA
BD
CRD#: 46173
Sacramento, CA
Past
June 1, 2009 - November 19, 2014
MORGAN STANLEY
RIA
CRD#: 149777
SACRAMENTO, CA
Past
June 1, 2009 - November 19, 2014
MORGAN STANLEY
BD
CRD#: 149777
SACRAMENTO, CA
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
AUBURN, CA
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
AUBURN, CA
Past
April 11, 2000 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
OAKLAND, CA
Past
October 1, 1998 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
OAKLAND, CA
Past
July 18, 1997 - October 8, 1998
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
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".
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(10/17/2014)
IAR
California(10/17/2014)
RR
Colorado(5/29/2018)
IAR
Colorado(5/29/2018)
RR
Florida(8/9/2019)
IAR
Florida(8/12/2019)
RR
Hawaii(1/28/2019)
IAR
Hawaii(1/30/2019)
RR
Missouri(1/5/2022)
RR
Montana(5/4/2023)
IAR
Montana(5/5/2023)
RR
Nevada(8/28/2018)
IAR
Nevada(9/6/2018)
RR
New Mexico(10/17/2014)
IAR
New Mexico(10/17/2014)
RR
Ohio(5/27/2025)
IAR
Ohio(6/3/2025)
RR
Oregon(6/21/2022)
IAR
Oregon(6/22/2022)
RR
South Dakota(3/23/2017)
IAR
South Dakota(3/29/2017)
RR
Tennessee(3/15/2022)
RR
Texas(2/4/2021)
IAR
Texas(2/4/2021)
RR
Washington(3/6/2025)
IAR
Washington(3/6/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
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.
Company Information
PARK AVENUE SECURITIES LLC
CRD#: 46173Sacramento, CA 95826TRUST BUT VERIFY
Monitor Alisa Chatham
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
