CL
Christopher J. Lema
PARK AVENUE SECURITIES LLC
Elk Grove, CA 95624
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CRD#: 5057073
CL
Professional summary
Christopher J Lema, who also goes by Chris Lema, Chrisristopher J Lema, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Elk Grove, California.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Christopher has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chris Lema | Chrisristopher J Lema
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. CPE Seminars for CPA's-Educational seminars for clients and CPA's. CPA's have the potential to receive CPE credit, Start: 05/04/2012, Address: 9281 Office Park Circle, Suite 144 Elk Grove, CA 95758, 1 non bus hr per month, Not investment related, 2. Insurance Other Than Guardian-Insurance sales of life insurance, disability insurance, long tern care insurance, and annuities other than Guardian,. Start: 01/01/2005, Address: 9281 Office Park Circle, Suite 144 Elk Grove, CA 95758, Hrs per month - tot/bus: 10/5, Investment related, >10% annual compensation, 3. LMML Foundation-Foundation to document the history of Elk Grove. Participate in a minimal role during foundation functions,. Start: 04/09/2017, Address: P O Box 2104, Elk Grove, CA 95759, 2 non bus hrs per month, Not investment related, 4. Commercial Real Estate Rental Income-I purchased a commercial office and will be leasing it to a tenant,. Start: 08/01/2017, Address: 8841 Williamson Drive, Suite 50 Elk Grove, CA 95624, 4 bus hrs per month, Investment related, >10% annual compensation, 5. President of Williamson Owners Association-President of The Plaza on Williamson Drive Owner's Association Inc., President. We are owners of a condo at this property,. Start: 10/30/2017, Address: P.O. Box 1341Sloughhouse, CA 95683, 2 bus hrs per month, Not investment related, 6) Martinizing Dry Cleaning (CJLema Enterprises, Inc.), Owner of franchise with the intention of operating the business in a semi passive fashion. My role will be limited in terms of time as my wife will be the primary participant., Start: 07/29/2019, Address: 307 S Lower Sacramento Rd Suite A, Lodi, CA 95242, 10 total hours per month; 4 during securities trading hours, Not investment related, No annual compensation, 7) Treasurer, California Cleaners Association, Start: 09/20/2022, Address: 1950 W Corporate Way Suite B PMB 69559 Anaheim, CA 92801, 4 total hours per month; 0 during securities trading hours, Not investment related, No annual compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Christopher J Lema's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Christopher J Lema'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®
NoneExperience
Current
February 13, 2007 - Present
PARK AVENUE SECURITIES LLC
Office #1: 8841 Williamson Drive Suite 50, Elk Grove, CA 95624RIA
BD
CRD#: 46173
Elk Grove, CA
Current
July 21, 2006 - Present
PARK AVENUE SECURITIES LLC
Office #1: 8841 Williamson Drive Suite 50, Elk Grove, CA 95624RIA
BD
CRD#: 46173
Elk Grove, CA
Past
January 25, 2006 - February 8, 2006
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
SACRAMENTO, CA
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
Arizona(8/20/2020)
IAR
Arizona(8/24/2020)
RR
California(11/15/2006)
IAR
California(2/13/2007)
RR
Mississippi(11/19/2014)
IAR
Mississippi(8/11/2016)
RR
Nevada(2/13/2007)
IAR
Nevada(2/13/2007)
RR
North Carolina(10/14/2022)
IAR
North Carolina(10/17/2022)
RR
Texas(3/17/2021)
IAR
Texas(3/17/2021)
RR
Washington(4/23/2025)
IAR
Washington(4/24/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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)
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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
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#: 46173Elk Grove, CA 95624TRUST BUT VERIFY
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