Joyce K. Chan

PARK AVENUE SECURITIES LLC

Old Bridge, NJ

Some features on this profile are disabled

CRD#: 4835547

Professional summary

Joyce Kwanwa Chan, who also goes by Kwan Wa Chan, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Old Bridge, New Jersey.

Joyce is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Joyce has worked at 7 firms and has passed the Series 66, SIE, Series 7, Series 4, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kwan Wa Chan

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 Joyce Kwanwa Chan's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Joyce Kwanwa Chan'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

October 31, 2016 - Present

PARK AVENUE SECURITIES LLC

Office #2: 10 Hudson Yards, New York, NY 10001

RIA

CRD#: 46173

Old Bridge, NJ

Current

October 31, 2016 - Present

PARK AVENUE SECURITIES LLC

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

RIA

CRD#: 46173

New York, NY

Past

September 23, 2008 - September 5, 2013

WALNUT STREET SECURITIES, INC.

RIA

CRD#: 15840

OLD BRIDGE, NJ

Past

September 23, 2008 - September 5, 2013

TOWER SQUARE SECURITIES, INC.

RIA

CRD#: 833

OLD BRIDGE, NJ

Past

September 23, 2008 - April 17, 2014

NEW ENGLAND SECURITIES

RIA

CRD#: 615

OLD BRIDGE, NJ

Past

September 23, 2008 - October 20, 2016

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

NEW YORK, NY

Past

March 18, 2008 - September 5, 2013

WALNUT STREET SECURITIES, INC.

CRD#: 15840

SOMERSET, NJ

Past

March 18, 2008 - September 5, 2013

TOWER SQUARE SECURITIES, INC.

CRD#: 833

SOMERSET, NJ

Past

March 18, 2008 - April 17, 2014

NEW ENGLAND SECURITIES

CRD#: 615

SOMERSET, NJ

Past

March 18, 2008 - October 20, 2016

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

NEW YORK, NY

Past

July 5, 2006 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

ISELIN, NJ

Past

July 5, 2006 - March 13, 2008

WALNUT STREET SECURITIES, INC.

CRD#: 15840

ISELIN, NJ

Past

July 5, 2006 - March 13, 2008

TOWER SQUARE SECURITIES, INC.

CRD#: 833

ISELIN, NJ

Past

July 5, 2006 - March 13, 2008

NEW ENGLAND SECURITIES

CRD#: 615

ISELIN, NJ

Past

July 5, 2006 - March 13, 2008

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

ISELIN, NJ

Past

November 24, 2005 - June 15, 2006

UBS FINANCIAL SERVICES INC.

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".

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

New Jersey
(10/31/2016)

IAR

New Jersey
(10/31/2016)

New York
(10/31/2016)

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: 9/16/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/23/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 9/2/2010

Registered Options Principal Examination

Principal/Supervisory Exam

Series 51

Date: 11/13/2006

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 9/18/2006

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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See 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

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Joyce K. Chan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joyce Kwanwa Chan's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Joyce Kwanwa Chan's CRS (Customer Relationship Summary).

Certified licenses

Experience

PARK AVENUE SECURITIES LLC

WALNUT STREET SECURITIES, INC.

TOWER SQUARE SECURITIES, INC.

NEW ENGLAND SECURITIES

MSI FINANCIAL SERVICES, INC.

WALNUT STREET SECURITIES, INC.

TOWER SQUARE SECURITIES, INC.

NEW ENGLAND SECURITIES

MSI FINANCIAL SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

WALNUT STREET SECURITIES, INC.

TOWER SQUARE SECURITIES, INC.

NEW ENGLAND SECURITIES

MSI FINANCIAL SERVICES, INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

PARK AVENUE SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/16/2008

SIE

Date: 10/1/2018

Series 7

Date: 11/23/2005

Series 4

Date: 9/2/2010

Series 51

Date: 11/13/2006

Series 24

Date: 9/18/2006

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

Similar Advisors