Ka Eun Lee

PARK AVENUE SECURITIES LLC

Campbell, CA 95008

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CRD#: 4614565

Professional summary

Ka Eun Lee, CFP®, who also goes by Ka Eun Ban, Karen Ban, Ka Eun Lee, Karen B Lee, Karen Lee, Kaeun Lee, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Campbell, California.

Ka Eun is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Ka Eun has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 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.

1. Sales of insurance products other than those offered by Guardian Start Date: 5/21/2025, Address: 1580 Trevor Dr, San Jose, CA 95118, 10 hours/month, 10 hours/month during trading, Investment related, Less than 10% of total annual income; 2. Loft Science LLC - Business Planning service, Start Date: 12/02/2019, Address: 855 Maude Ave, Mountain View, CA 94043, 10 hours/month, no hours/month during trading, Not investment related, Less than 10% of total annual income;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ka Eun Lee'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®

CFP^®

Certified Financial Planner

Start date: 2014

Experience

Current

June 6, 2025 - Present

PARK AVENUE SECURITIES LLC

Office #1: 910 E. Hamilton Avenue Suite 150, Campbell, CA 95008

RIA

CRD#: 46173

Campbell, CA

Past

July 9, 2014 - June 1, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

SAN JOSE, CA

Past

July 8, 2014 - June 1, 2016

LPL FINANCIAL LLC

CRD#: 6413

SAN JOSE, CA

Past

October 1, 2012 - July 17, 2014

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

LOS ALTOS, CA

Past

October 1, 2012 - July 17, 2014

J.P. MORGAN SECURITIES LLC

CRD#: 79

LOS ALTOS, CA

Past

May 4, 2012 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

LOS ALTOS, CA

Past

May 4, 2012 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

LOS ALTOS, CA

Past

February 2, 2010 - April 4, 2012

HSBC SECURITIES (USA) INC.

RIA

CRD#: 19585

PALO ALTO, CA

Past

January 29, 2010 - April 4, 2012

HSBC SECURITIES (USA) INC.

CRD#: 19585

PALO ALTO, CA

Past

May 29, 2007 - January 20, 2010

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

SUNNYVALE, CA

Past

May 29, 2007 - January 20, 2010

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

SUNNYVALE, CA

Past

August 25, 2005 - May 29, 2007

CITICORP INVESTMENT SERVICES

RIA

CRD#: 23988

SUNNYVALE, CA

Past

August 25, 2005 - May 29, 2007

CITICORP INVESTMENT SERVICES

CRD#: 23988

SUNNYVALE, CA

Past

March 4, 2004 - August 1, 2005

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

MENLO PARK, CA

Past

March 4, 2004 - August 1, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

November 18, 2003 - February 18, 2004

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

LAS VEGAS, NV

Past

December 16, 2002 - February 18, 2004

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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.

Highlighted states indicate IAR registrations

IAR

California
(6/6/2025)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/6/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/27/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/29/2025

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 4/16/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 9/11/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/13/2002

Investment Company Products/Variable Contracts Representative Examination

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

Ka Eun Lee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ka Eun Lee's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

HSBC SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CITICORP INVESTMENT SERVICES

CITICORP INVESTMENT SERVICES

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

PARK AVENUE SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/6/2003

Series 63

Date: 12/27/2002

SIE

Date: 9/29/2025

Series 31

Date: 4/16/2004

Series 7

Date: 9/11/2003

Series 6

Date: 12/13/2002

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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