Gwendolyn Chatham, financial advisor Sacramento CA
66 score

Gwendolyn Chatham

CRD Number: 1087730
Current Firm: Park Avenue Securities LLC

Gwendolyn Chatham (CRD# 1087730) is an Investment Advisor Representative working at Park Avenue Securities LLC in Sacramento, CA and has over 33 years of experience in the finance industry. Gwendolyn Chatham has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Park Avenue Securities LLC New York, NY May 1999 - Current 17
Guardian Life Insurance Company New York, NY Oct 1992 - Current 24
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Feb 1983
S65 NASAA Investment Advisors Law Examination Oct 1991
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
  • Regulatory Event
Get Details on the FINRA Advisor Check site
Contact Info for Gwendolyn D. Chatham
Phone Number: 1-888-600-4667
Registered State(s):
  • AZ
  • AR
  • WI
  • CA
  • FL
  • ID
  • MO
  • PA
  • UT
  • WA
By the Numbers
  • Total Assets Under Management
    6,646
    MILLIONS
  • Total Number of Accounts
    39,311
    ACCOUNTS
  • Average Account Value
    $169,065
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
66

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