Kwabena J. Leek

PARK AVENUE SECURITIES LLC

Atlanta, GA

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CRD#: 4257139

Professional summary

Kwabena Jamila Leek, who also goes by Kwabena Jamitha Leek, Jami Leek, Jamila Leek, K J Leek, K Jami Leek, Kwabena J Leek, Kwabena Jamila Leek, Kwabena Jamila R Leek, Kwabena Leek, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Atlanta, Georgia.

Kwabena is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Kwabena has worked at 17 firms and has passed the Series 66, Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

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 Kwabena Jamila Leek's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Kwabena Jamila Leek'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

January 31, 2025 - Present

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

Atlanta, GA

Current

January 30, 2025 - Present

PARK AVENUE SECURITIES LLC

Office #1: 10 Hudson Yards, New York, NY 10001

RIA

CRD#: 46173

New York, NY

Past

March 10, 2023 - January 2, 2025

U.S. BANCORP INVESTMENTS, INC.

RIA

CRD#: 17868

Atlanta, GA

Past

March 8, 2023 - January 2, 2025

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

SAINT PAUL, MN

Past

September 22, 2021 - March 10, 2023

NATIONWIDE INVESTMENT ADVISORS, LLC

RIA

CRD#: 142373

COLUMBUS, OH

Past

September 22, 2021 - March 10, 2023

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

COLUMBUS, OH

Past

March 1, 2016 - September 7, 2021

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

ATLANTA, GA

Past

February 25, 2016 - September 7, 2021

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

ATLANTA, GA

Past

March 9, 2015 - April 1, 2015

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

CRD#: 154559

SALT LAKE CITY, UT

Past

July 28, 2014 - November 5, 2014

SECURITY CAPITAL BROKERAGE, INC.

CRD#: 35405

ATLANTA, GA

Past

November 20, 2012 - July 16, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

ATLANTA, GA

Past

November 20, 2012 - July 16, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

ATLANTA, GA

Past

May 29, 2012 - July 27, 2012

HARRISDIRECT LLC

RIA

CRD#: 42159

ARLINGTON, VA

Past

May 25, 2012 - July 27, 2012

E*TRADE SECURITIES LLC

CRD#: 29106

ALPHARETTA, GA

Past

September 14, 2010 - April 23, 2012

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

ATLANTA, GA

Past

September 9, 2010 - April 23, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

ATLANTA, GA

Past

August 14, 2008 - August 31, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

ATLANTA, GA

Past

August 13, 2008 - August 31, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

ATLANTA, GA

Past

August 8, 2007 - May 19, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

ATLANTA, GA

Past

August 2, 2007 - May 19, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

ATLANTA, GA

Past

May 3, 2007 - June 11, 2007

E*TRADE SECURITIES LLC

CRD#: 29106

ALPHARETTA, GA

Past

September 21, 2005 - March 9, 2007

TRUIST INVESTMENT SERVICES, INC.

RIA

CRD#: 17499

ATLANTA, GA

Past

September 13, 2005 - March 9, 2007

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

ATLANTA, GA

Past

September 10, 2004 - September 22, 2005

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

April 19, 2002 - September 13, 2002

THE MALACHI GROUP, INC.

CRD#: 42320

ATLANTA, GA

Past

May 30, 2001 - May 16, 2002

WACHOVIA SECURITIES, INC.

CRD#: 431

CHARLOTTE, NC

Past

August 29, 2000 - February 13, 2001

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

CRD#: 7404

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

Georgia
(1/30/2025)

IAR

Georgia
(1/31/2025)

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 66

Date: 10/7/2005

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 6/14/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/8/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 3/8/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/29/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/28/2000

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 53

Date: 4/28/2023

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/20/2006

General Securities Principal 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)

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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

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.

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Advisor Monitoring

Firm Stability Insights

Kwabena J. Leek

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kwabena Jamila Leek's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Kwabena Jamila Leek's CRS (Customer Relationship Summary).

Certified licenses

Experience

PARK AVENUE SECURITIES LLC

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

NATIONWIDE INVESTMENT ADVISORS, LLC

NATIONWIDE INVESTMENT SERVICES CORPORATION

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

SECURITY CAPITAL BROKERAGE, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

HARRISDIRECT LLC

E*TRADE SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

E*TRADE SECURITIES LLC

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

OPPENHEIMER & CO. INC.

THE MALACHI GROUP, INC.

WACHOVIA SECURITIES, INC.

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

Primary Firm SEC Registration

PARK AVENUE SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/7/2005

Series 65

Date: 6/14/2001

Series 63

Date: 9/8/2000

Series 52TO

Date: 3/8/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/29/2001

Series 6

Date: 8/28/2000

Series 53

Date: 4/28/2023

Series 24

Date: 3/20/2006

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

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