CF
Charles E. Fischesser
PARK AVENUE SECURITIES
Louisville, KY 40222
Some features on this profile are disabled
CRD#: 4643069
CF
Professional summary
Charles E Fischesser, CFP®, who also goes by C. Eric Fischesser, Charles Eric Fischesser, Charles Fischesser, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Louisville, Kentucky.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Charles has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
C. Eric Fischesser | Charles Eric Fischesser | Charles Fischesser
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 Charles E Fischesser's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Charles E Fischesser'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®
CFP®
Start date: 2011
Experience
Current
March 8, 2005 - Present
PARK AVENUE SECURITIES LLC
Office #1: 9300 Shelbyville Road Suite 320, Louisville, KY 40222RIA
BD
CRD#: 46173
Louisville, KY
Current
May 25, 2004 - Present
PARK AVENUE SECURITIES LLC
Office #1: 9300 Shelbyville Road Suite 320, Louisville, KY 40222RIA
BD
CRD#: 46173
Louisville, KY
Past
January 15, 2004 - May 19, 2004
MORGAN KEEGAN & COMPANY, LLC
RIA
CRD#: 4161
LOUISVILLE, KY
Past
August 11, 2003 - May 19, 2004
MORGAN KEEGAN & COMPANY, LLC
BD
CRD#: 4161
MEMPHIS, TN
Past
May 20, 2003 - July 28, 2003
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, 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".
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
Alabama(4/3/2020)
IAR
Alabama(4/3/2020)
RR
Alaska(7/22/2020)
IAR
Alaska(7/22/2020)
RR
Arizona(1/24/2015)
IAR
Arizona(2/3/2015)
RR
California(8/7/2018)
IAR
California(8/7/2018)
RR
Colorado(6/25/2019)
IAR
Colorado(7/9/2019)
RR
Florida(9/1/2010)
IAR
Florida(9/7/2010)
RR
Georgia(7/12/2019)
IAR
Georgia(7/15/2019)
RR
Illinois(1/10/2019)
IAR
Illinois(1/10/2019)
RR
Indiana(3/21/2012)
IAR
Indiana(3/21/2012)
RR
Kentucky(5/25/2004)
IAR
Kentucky(3/8/2005)
RR
Louisiana(1/30/2024)
IAR
Louisiana(1/30/2024)
RR
Massachusetts(3/11/2016)
IAR
Massachusetts(3/22/2016)
RR
Michigan(1/24/2015)
IAR
Michigan(1/26/2015)
RR
Minnesota(11/3/2024)
IAR
Minnesota(11/3/2024)
RR
Mississippi(10/24/2016)
IAR
Mississippi(10/24/2016)
RR
Missouri(9/23/2020)
IAR
Missouri(9/23/2020)
RR
Nebraska(2/10/2022)
IAR
Nebraska(2/15/2022)
RR
Nevada(9/22/2016)
IAR
Nevada(9/29/2016)
RR
New Hampshire(5/8/2015)
IAR
New Hampshire(5/8/2015)
RR
New Mexico(11/24/2020)
IAR
New Mexico(11/24/2020)
RR
New York(3/29/2017)
IAR
New York(4/16/2021)
IAR
North Carolina(10/21/2016)
RR
North Carolina(10/25/2016)
RR
Ohio(5/26/2004)
IAR
Ohio(3/9/2005)
RR
Oklahoma(8/13/2024)
IAR
Oklahoma(8/13/2024)
RR
Oregon(5/15/2019)
RR
Rhode Island(2/14/2025)
IAR
Rhode Island(2/14/2025)
RR
South Carolina(7/8/2010)
IAR
South Carolina(7/9/2010)
RR
South Dakota(4/14/2023)
IAR
South Dakota(4/17/2023)
RR
Tennessee(2/19/2021)
RR
Texas(1/24/2015)
IAR
Texas(1/24/2015)
RR
Virginia(10/23/2017)
IAR
Virginia(11/2/2017)
RR
Washington(10/22/2020)
IAR
Washington(10/22/2020)
RR
Wisconsin(11/3/2017)
IAR
Wisconsin(11/3/2017)
RR
Wyoming(4/14/2023)
IAR
Wyoming(4/14/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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#: 46173Louisville, KY 40222TRUST BUT VERIFY
Monitor Charles Fischesser
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
