Christopher C. Fox
Professional summary
Christopher Charles Fox, who also goes by Charlie Fox, Chris Fox, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Denver, Colorado.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Christopher has worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Charles Fox's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Christopher Charles Fox's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 30, 2026 - Present
PARK AVENUE SECURITIES LLC
Office #1: Wework Triangle Building 1550 Wewatta St. 2nd Floor, Suite 2108, Denver, CO 80202May 1, 2026 - Present
PARK AVENUE SECURITIES LLC
Office #1: Wework Triangle Building 1550 Wewatta St. 2nd Floor, Suite 2108, Denver, CO 80202April 28, 2025 - July 28, 2025
MML INVESTORS SERVICES, LLC
April 28, 2025 - July 28, 2025
MML INVESTORS SERVICES, LLC
November 14, 2024 - April 7, 2025
LPL ENTERPRISE, LLC
November 14, 2024 - April 7, 2025
LPL ENTERPRISE, LLC
March 16, 2023 - November 14, 2024
PRUCO SECURITIES, LLC.
March 16, 2023 - November 14, 2024
PRUCO SECURITIES, LLC.
February 9, 2021 - March 3, 2023
EMPOWER ADVISORY GROUP, LLC
February 9, 2021 - March 3, 2023
EMPOWER FINANCIAL SERVICES, INC.
September 3, 2020 - January 27, 2021
PATRICK CAPITAL MARKETS, LLC
May 4, 2018 - March 2, 2020
RBC CAPITAL MARKETS, LLC
May 4, 2018 - March 2, 2020
RBC CAPITAL MARKETS, LLC
November 12, 2015 - October 27, 2017
NORTHERN LIGHTS DISTRIBUTORS, LLC
October 20, 2015 - October 26, 2017
SWAN GLOBAL INVESTMENTS, LLC
December 2, 2013 - September 15, 2015
CURIAN CAPITAL, LLC
February 4, 2013 - September 15, 2015
CURIAN CLEARING, LLC
October 7, 2011 - January 11, 2013
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
July 16, 2009 - September 27, 2011
PACIFIC SELECT DISTRIBUTORS, LLC
Primary Firm SEC Registration
PARK AVENUE SECURITIES LLC
CRD#: 46173 / SEC#: 801-58108, 8-51324
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/30/2026)
(5/1/2026)
(5/1/2026)
(5/4/2026)
Exams
FINRA
Current Firm
PARK AVENUE SECURITIES LLC
CRD#: 46173 / SEC#: 801-58108, 8-51324
Contact information
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.
