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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

ALISA CHATHAM

Advisor at PARK AVENUE SECURITIES LLC

SACRAMENTO, CA

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Search this name across graphsid dfx:ria:775ade54-3a3b-213b-0d2f-1ad2b7de2b17

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Apr 11, 2000 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: PARK AVENUE SECURITIES LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 29, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 12
Exams: S63|S65
First exam: Jul 29, 1997
First registration: Apr 11, 2000
Dual registered: yes, broker-dealer
Other names: ALISA SUSANNE CHATHAM|ALISA CHATHAM SAKOWITZ|ALISA SUSANNE CHATHAM|ALISA CHATHAM SAKOWITZ
IAPD individual key: 2913395

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
PARK AVENUE SECURITIES LLC	Bd affiliated wealth	Oct 17, 2014	n/a	yes	SACRAMENTO, CA	Current employment
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Nov 19, 2014	no	AUBURN, CA\|Sacramento, CA	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jun 1, 2009	no	AUBURN, CA\|OAKLAND, CA\|WALNUT CREEK, CA	Previous registration
MORGAN STANLEY DW INC.	n/a	Apr 11, 2000	Apr 2, 2007	no	OAKLAND, CA\|PLEASANTON, CA\|PLEASANTON, CA\|HAYWARD, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MORGAN STANLEY	PARK AVENUE SECURITIES LLC	Nov 19, 2014	Oct 17, 2014	-33	Firm change after gap	Other
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other

Relationships

Registered with (4)

→ PARK AVENUE SECURITIES LLCRegistered adviserregistration: current employment
Oct 17, 2014 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Nov 19, 2014factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Apr 11, 2000 to Apr 2, 2007factForm ADV

Dated events

No dated event names this entity yet.