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Detailed Report
LISA R HUND
LISA RAYE HUND
CRD#: 5527464
IA
Investment Adviser
B
Broker
PARK AVENUE SECURITIES LLCCRD#: 46173 6115 PARK SOUTH DRIVE
SUITE 200
CHARLOTTE, NC 28210
Registration History
199019952000200520102015202020252 FIRMS2010 - Present (14 years)
Disclosure(s)
View By:
6/13/1989
Criminal
Final Disposition
License(s)

State Registrations

B
Alabama 8/10/2021
IA
Nevada 6/27/2024
IA
Alabama 8/10/2021
B
New York 7/15/2019
IA
California 6/27/2024
IA
New York 4/16/2021
B
California 6/28/2024
B
North Carolina 6/1/2010
B
Florida 5/4/2016
IA
North Carolina 9/29/2010
IA
Florida 5/4/2016
B
Oregon 1/27/2016
B
Georgia 6/15/2021
IA
Oregon 1/27/2016
IA
Georgia 6/15/2021
B
South Carolina 6/1/2010
B
Maryland 3/6/2017
IA
South Carolina 9/24/2010
IA
Maryland 3/7/2017
B
Tennessee 8/27/2021
B
Missouri 11/29/2022
B
Texas 1/2/2019
IA
Missouri 11/29/2022
IA
Texas 1/3/2019
B
Nevada 6/27/2024

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)
6115 PARK SOUTH DRIVE SUITE 200, CHARLOTTE, NC 28210
1036 LANSING DRIVE SUITE 200, MT PLEASANT, SC 29464
Registered with this firm since 9/24/2010
B
PARK AVENUE SECURITIES LLC (CRD#:46173)
6115 PARK SOUTH DRIVE SUITE 200, CHARLOTTE, NC 28210
1036 LANSING DRIVE SUITE 200, MT PLEASANT, SC 29464
Registered with this firm since 1/22/2010
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.