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Detailed Report
ALISA CHATHAM
ALISA SUSANNE CHATHAM, ALISA CHATHAM SAKOWITZ, ALISA CHATHAM SAKOWITZ
CRD#: 2913395
IA
Investment Adviser
B
Broker
PARK AVENUE SECURITIES LLCCRD#: 46173 20 BICENTENNIAL CIRCLE
SUITE 100
SACRAMENTO, CA 95826
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - 2014 (5 years)2 FIRMS2014 - Present (10 years)BMORGAN STANLEY DW INC. (CRD# 7556)1998 - 2007 (8 years)BGUARDIAN INVESTOR SERVICES COR... (CRD# 6635)1997 - 1998 (1 year)IAMORGAN STANLEY (CRD# 7556)2000 - 2007 (7 years)
License(s)

State Registrations

B
California 10/17/2014
B
New Mexico 10/17/2014
IA
California 10/17/2014
IA
New Mexico 10/17/2014
B
Colorado 5/29/2018
B
Oregon 6/21/2022
IA
Colorado 5/29/2018
IA
Oregon 6/22/2022
B
Florida 8/9/2019
B
South Dakota 3/23/2017
IA
Florida 8/12/2019
IA
South Dakota 3/29/2017
B
Hawaii 1/28/2019
B
Tennessee 3/15/2022
IA
Hawaii 1/30/2019
B
Texas 2/4/2021
B
Missouri 1/5/2022
IA
Texas 2/4/2021
B
Montana 5/4/2023
B
Utah 2/22/2023
IA
Montana 5/5/2023
IA
Utah 2/22/2023
B
Nevada 8/28/2018
B
Washington 3/6/2025
IA
Nevada 9/6/2018
IA
Washington 3/6/2025

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
PARK AVENUE SECURITIES LLC (CRD#:46173)
20 BICENTENNIAL CIRCLE SUITE 100, SACRAMENTO, CA 95826
Registered with this firm since 10/17/2014
B
PARK AVENUE SECURITIES LLC (CRD#:46173)
20 BICENTENNIAL CIRCLE SUITE 100, SACRAMENTO, CA 95826
Registered with this firm since 10/17/2014
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/01/2009 - 11/19/2014 MORGAN STANLEY (CRD#:149777) SACRAMENTO, CA
B
 06/01/2009 - 11/19/2014 MORGAN STANLEY (CRD#:149777) SACRAMENTO, CA
IA
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) AUBURN, CA
B
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) AUBURN, CA
IA
 04/11/2000 - 04/02/2007 MORGAN STANLEY (CRD#:7556) OAKLAND, CA
B
 10/01/1998 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) OAKLAND, CA
B
 07/18/1997 - 10/08/1998 GUARDIAN INVESTOR SERVICES CORPORATION (CRD#:6635) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.