Anne M. Chamberlain

PARK AVENUE SECURITIES LLC

Louisville, KY 40222

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CRD#: 4467503

Professional summary

Anne Maleva Chamberlain, who also goes by Anne Chamberlain Shaw, Anne Maleva Shaw, Anne Maleva Chamberlain Shaw, Anne C Shaw, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Louisville, Kentucky.

Anne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Anne has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Anne Chamberlain Shaw | Anne Maleva Shaw | Anne Maleva Chamberlain Shaw | Anne C Shaw

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. Insurance Sales-Offering and selling insurance products Guardian does not offer, Start: 11/02/2018, Address: 9300 Shelbyville Rd #320 Louisville, KY 40222, 1 bus hr per month, Investment related, 2) Business Development Representative-responsible for Business Development for the tax planning firm Tax Strategy Pro (TSP), Start: 03/10/2022, Address: 1712 Devondale Dr Louisville, KY 40222, 10 total hours per month; 10 during securities trading hours, Not investment related, Less than 10% annual compensation, 3) Chamberlain Divorce Advisors-owner, Start: 06/19/2019, Address: 9300 Shelbyville Rd #320, Louisville, KY 40222, 5 total hours per month; 0 during securities trading hours, Not investment related, No annual compensation

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anne Maleva Chamberlain's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Anne Maleva Chamberlain'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 3, 2018 - Present

PARK AVENUE SECURITIES LLC

Office #1: 9300 Shelbyville Road Suite 320, Louisville, KY 40222

RIA

CRD#: 46173

Louisville, KY

Current

November 17, 2017 - Present

PARK AVENUE SECURITIES LLC

Office #1: 9300 Shelbyville Road Suite 320, Louisville, KY 40222

RIA

CRD#: 46173

Louisville, KY

Past

March 25, 2017 - November 20, 2017

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

LOUISVILLE, KY

Past

March 25, 2017 - November 20, 2017

MML INVESTORS SERVICES, LLC

CRD#: 10409

LOUISVILLE, KY

Past

September 27, 2011 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

LOUISVILLE, KY

Past

March 29, 2011 - August 12, 2011

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

LOUISVILLE, KY

Past

March 25, 2011 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

LOUISVILLE, KY

Past

November 13, 2009 - March 16, 2011

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

LOUISVILLE, KY

Past

November 13, 2009 - March 16, 2011

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

LOUISVILLE, KY

Past

May 21, 2009 - November 13, 2009

NATCITY INVESTMENTS, INC.

RIA

CRD#: 17490

LOUISVILLE, KY

Past

May 21, 2009 - November 13, 2009

NATCITY INVESTMENTS, INC.

CRD#: 17490

LOUISVILLE, KY

Past

January 5, 2009 - May 11, 2009

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

LOUISVILLE, KY

Past

January 5, 2009 - May 11, 2009

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

LOUISVILLE, KY

Past

March 26, 2008 - January 2, 2009

NATCITY INVESTMENTS, INC.

RIA

CRD#: 17490

LOUISVILLE, KY

Past

March 26, 2008 - January 2, 2009

NATCITY INVESTMENTS, INC.

CRD#: 17490

LOUISVILLE, KY

Past

October 31, 2007 - March 18, 2008

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

NEW ALBANY, IN

Past

October 31, 2007 - March 18, 2008

NATIONAL PLANNING CORPORATION

CRD#: 29604

NEW ALBANY, IN

Past

November 6, 2006 - November 1, 2007

AMERICAN GENERAL SECURITIES INCORPORATED

RIA

CRD#: 13626

NEW ALBANY, IN

Past

October 18, 2006 - November 1, 2007

AMERICAN GENERAL SECURITIES INCORPORATED

CRD#: 13626

NEW ALBANY, IN

Past

March 28, 2003 - August 10, 2006

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

ATLANTA, GA

Past

November 15, 2001 - December 31, 2001

THE VARIABLE ANNUITY MARKETING COMPANY

CRD#: 5081

HOUSTON, TX

Past

November 15, 2001 - August 10, 2006

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

ATLANTA, GA

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

California
(6/9/2021)

IAR

California
(6/9/2021)

Colorado
(4/13/2021)

IAR

Colorado
(4/13/2021)

Florida
(4/12/2019)

IAR

Florida
(7/17/2023)

Georgia
(3/13/2018)

Indiana
(11/17/2017)

IAR

Indiana
(1/4/2018)

Kentucky
(11/17/2017)

IAR

Kentucky
(1/3/2018)

Maryland
(2/27/2023)

IAR

Maryland
(2/27/2023)

Michigan
(4/12/2019)

IAR

Michigan
(4/17/2019)

Ohio
(5/16/2022)

IAR

Ohio
(5/16/2022)

South Carolina
(2/3/2022)

Tennessee
(10/4/2022)

Texas
(1/22/2018)

IAR

Texas
(6/16/2020)

Virginia
(9/16/2021)

IAR

Virginia
(9/16/2021)

Wisconsin
(8/24/2023)

IAR

Wisconsin
(8/24/2023)

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: 3/26/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/26/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/19/2009

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/14/2001

Investment Company Products/Variable Contracts Representative 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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We're Here To Help

Advisor Monitoring

Firm Stability Insights

Anne M. Chamberlain

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anne Maleva Chamberlain's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Anne Maleva Chamberlain's CRS (Customer Relationship Summary).

Certified licenses

Experience

PARK AVENUE SECURITIES LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

NATCITY INVESTMENTS, INC.

NATCITY INVESTMENTS, INC.

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

NATCITY INVESTMENTS, INC.

NATCITY INVESTMENTS, INC.

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

AMERICAN GENERAL SECURITIES INCORPORATED

AMERICAN GENERAL SECURITIES INCORPORATED

VALIC FINANCIAL ADVISORS, INC.

THE VARIABLE ANNUITY MARKETING COMPANY

VALIC FINANCIAL ADVISORS, INC.

Primary Firm SEC Registration

PARK AVENUE SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/26/2003

Series 63

Date: 11/26/2001

SIE

Date: 10/1/2018

Series 7

Date: 10/19/2009

Series 6

Date: 11/14/2001

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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