William Sjem
Professional summary
William Sjem, CFP®, who also goes by Bill Sigurd Sjem Jr, William Sigurd Sjem Jr, William Sigurd Sjem Jr., William Sigurd Sjem, William Sjem, is a registered financial professional currently at PARK AVENUE SECURITIES LLC located in Claremont, California.
William is registered as a RR (Registered Representative) and started their career in finance in 2000. William has worked at 11 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 6, Series 7, Series 21 and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William Sjem's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 20, 2026 - Present
PARK AVENUE SECURITIES LLC
Office #1: 480 N. Indian Hill Blvd Suite 2a, Claremont, CA 91711January 21, 2022 - December 31, 2025
CAVALIER ADVISORY & INSURANCE
January 31, 2014 - April 24, 2014
NYLIFE SECURITIES LLC
March 24, 2009 - June 26, 2009
CETERA INVESTMENT SERVICES LLC
July 1, 2008 - June 26, 2009
BANCNORTH INVESTMENT GROUP, INC.
August 21, 2007 - October 11, 2007
CHASE INVESTMENT SERVICES CORP.
October 6, 2005 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
October 6, 2005 - July 23, 2007
MSI FINANCIAL SERVICES, INC.
March 14, 2005 - August 24, 2005
BANC OF AMERICA SPECIALIST, INC.
February 20, 2001 - March 4, 2005
LABRANCHE & CO. LLC
October 1, 2000 - February 27, 2001
SCAVONE, MCKENNA, CLOUD & COL, LLC
Primary Firm SEC Registration
PARK AVENUE SECURITIES LLC
CRD#: 46173 / SEC#: 801-58108, 8-51324
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 6TO
Date: 2/20/2026
Investment Company Products/Variable Contracts Representative ExaminationSeries 21
Date: 1/25/2001
NYSE Front Line Specialist ClerkSeries 25
Date: 6/20/2000
NYSE Trading Assistant ExaminationFINRA
Current Firm
PARK AVENUE SECURITIES LLC
CRD#: 46173 / SEC#: 801-58108, 8-51324
Contact information
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
