LH
Lisa R. Hund
PARK AVENUE SECURITIES
CHARLOTTE, NC 28210
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CRD#: 5527464
LH
Lisa R HundPARK AVENUE SECURITIES
Professional summary
Lisa R Hund, ChFC®, who also goes by Lisa Raye Hund, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Charlotte, North Carolina.
Lisa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Lisa has worked at 1 firm and has passed the Series 65, Series 63, SIE and Series 7 exams.
Aliases
Lisa Raye Hund
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) JDL Wholesales, LLC-Go to auctions and buy cars (more of a hobby than job but a license is required),
Start: 01/01/2013,
Address: 968 Ragin Lane Rock Hill, SC 29732,
6 non bus hrs per month,
Not investment related,
2) Rental Properties-3 rental homes (monthly) and one short term rental property in Mt. Pleasant,
Start: 01/01/1997,
Address: - 745 Adluh Street, Mt. Pleasant, SC 29464,
- 3378 Berryhill Road, Johns Island, SC 29455,
- 718 Lucas Street, Rock Hill, SC 29730,
- 306 South Jones, Rock Hill, SC 29730,
5 non bus hrs per month,
Investment related,
3) Church Playing (Trumpet) for paid services-Playing for my church for years, but will be playing other congregations and occasionally get paid. Easter Sunday etc.,
Start: 04/01/2018,
Address: Various,
4 non bus hrs per month,
Not investment related,
4) Winthrop University Executive Alumni Board-Serve on the Board for Winthrop University's Alumni Association,
Start: 07/11/2012,
Address: Winthrop University Rock Hill, SC 29733,
5 total hours per month, 0 during securities trading hours,
Not investment related,
No annual compensation,
5) Entertainment Committee Co-Chair for Rock Hill Elks Lodge 1318- committee Co-Chair for Entertainment/Activities for the Rock Hill Elks Lodge 1318.,
Start: 04/01/2021,
Address: 535 Hollis Lakes Road Rock Hill, SC 29732,
20 total hours per month, 0 during securities trading hours,
Not investment related,
No annual compensation,
6) Board of Trustees of Rock Hill Elks Lodge 1318,
Start: 04/01/2022,
Address: 535 Hollis Lakes Road Rock Hill, SC 29732,
3 total hours per month; 0 during securities trading hours,
Investment related,
No annual compensation,
7) Coastal Casa Management, LLC-Working with renters for Homeowners when they book through sites such as VRBO/AirBNB/Etc,
Start: 08/15/2022,
Address: 745 Adluh Street Mt. Pleasant, SC 29464,
10 total hours per month; 5 during securities trading hours,
Investment related,
Less than 10% annual compensation,
8) Build/Sell Real Estate-own a property that I'm subdividing the lot and will build on that land to sell,
Start: 08/01/2022,
Address: 968 Ragin Lane Rock Hill, SC 29732,
5 total hours per month; 0 during securities trading hours,
Investment related,
More than 10% annual compensation,
9) Epoch Financial Consultants, LLC-DBA,
Start: 10/01/2022,
Address: 6115 South Park Avenue, Suite 200, Charlotte, NC 28209,
0 total hours per month,
Investment related,
No annual compensation,
10) Sell insurance products other than Guardian,
Start: 4/1/2025,
Address: 968 Ragin Lane, Rock Hill, SC 29732,
1 total hr/month, 1 hour during trading,
Investment related,
Less than 10% of total annual compensation,
11) Epoch Financial Holdings, LLC,
Start: 5/30/2025,
Address: 1787 Pleasant Road Fort Mill, SC 29708,
0 total hours per month,
Not Investment related,
No Annual compensation,
12) Carolina Wind Orchestra Board Member,
Start: 8/8/2016,
Address: Winthrop University Rock Hill, SC 29733,
2 total hours per month; 0 during securities trading,
Not Investment related,
No Annual compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Lisa R Hund's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lisa R Hund'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®
Experience
Current
September 24, 2010 - Present
PARK AVENUE SECURITIES LLC
Office #1: 6115 Park South Drive Suite 200, Charlotte, NC 28210Office #2: 1036 Lansing Drive Suite 200, Mt Pleasant, SC 29464RIA
BD
CRD#: 46173
CHARLOTTE, NC
Current
January 22, 2010 - Present
PARK AVENUE SECURITIES LLC
Office #1: 6115 Park South Drive Suite 200, Charlotte, NC 28210Office #2: 1036 Lansing Drive Suite 200, Mt Pleasant, SC 29464RIA
BD
CRD#: 46173
CHARLOTTE, NC
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(8/10/2021)
IAR
Alabama(8/10/2021)
RR
Arizona(7/18/2025)
IAR
Arizona(7/18/2025)
IAR
California(6/27/2024)
RR
California(6/28/2024)
RR
Florida(5/4/2016)
IAR
Florida(5/4/2016)
RR
Georgia(6/15/2021)
IAR
Georgia(6/15/2021)
RR
Indiana(7/18/2025)
IAR
Indiana(7/22/2025)
RR
Maryland(3/6/2017)
IAR
Maryland(3/7/2017)
RR
Michigan(7/22/2025)
IAR
Michigan(7/22/2025)
RR
Minnesota(7/22/2025)
IAR
Minnesota(7/22/2025)
RR
Missouri(11/29/2022)
IAR
Missouri(11/29/2022)
RR
Nevada(6/27/2024)
IAR
Nevada(6/27/2024)
RR
New Jersey(7/21/2025)
IAR
New Jersey(7/21/2025)
RR
New York(7/15/2019)
IAR
New York(4/16/2021)
RR
North Carolina(6/1/2010)
IAR
North Carolina(9/29/2010)
RR
Oklahoma(7/21/2025)
IAR
Oklahoma(7/21/2025)
RR
Oregon(1/27/2016)
IAR
Oregon(1/27/2016)
RR
South Carolina(6/1/2010)
IAR
South Carolina(9/24/2010)
RR
Tennessee(8/27/2021)
RR
Texas(1/2/2019)
IAR
Texas(1/3/2019)
RR
Virginia(10/30/2025)
IAR
Virginia(10/30/2025)
Exams
State Security Law Exam
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)
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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.
