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Lee Thomas Penland

Park Avenue Securities LLC

Atlanta, GA

Tiger, GA

CRD 864806

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Employer firm

Park Avenue Securities LLC CRD 46173

$19.6B regulatory AUM 38,649 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Park Avenue Securities Llc

10 Hudson Yards, New York, NY 10001 • United States

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2023-07-19
  • GA RA
    APPROVED
    Since 2023-07-19

Branch Locations

3525 Piedmont Road Ne Bldg 5, Suite 435, Atlanta, GA 30305 • United States

Tiger, GA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Kestra Advisory Services, Llc Woodstock GA 04/2016 03/2023
Kestra Investment Services, Llc Woodstock GA 10/2003 03/2023
Guardian Life Insurance Company Atlanta GA 04/2023 Present
Park Avenue Securities Llc Atlanta GA 05/2023 Present
Guardian Life Insurance Company Tiger GA 06/2024 Present
Guardian Life Insurance Company Tiger GA 06/2024 Present
  • 04/2016 → 03/2023
    Woodstock, GA
  • 10/2003 → 03/2023
    Kestra Investment Services, Llc
    Woodstock, GA
  • 04/2023 → Present
    Guardian Life Insurance Company
    Atlanta, GA
  • 05/2023 → Present
    Atlanta, GA
  • 06/2024 → Present
    Guardian Life Insurance Company
    Tiger, GA
  • 06/2024 → Present
    Guardian Life Insurance Company
    Tiger, GA
Previous Registrations
  • 2016-04-27 → 2023-03-31
    Woodstock, GA
  • 2003-10-02 → 2016-09-22
    Kestra Investment Services, Llc
    Woodstock, GA
    Woodstock, GA
  • 2003-03-04 → 2003-10-24
    Osaic Fa, Inc.
    Atlanta, GA
Other Businesses

1. Lake Burton Civic Association (LBCA), Start Date: 6/1/2020, Address: PO Box 690 Clayton GA 30525, 4 total hours per month; 4 during securities trading, Not Investment Related, No Annual Compensation, 2. Penland Associates, LLC, Start Date: 1/1/2023, Address: 270 Pond View Drive Tiger GA 30576, 4 total hours per month; 4 during securities trading, Not Investment Related, Less than 10% Annual Compensation, 3. Insurance other than Guardian, Start Date: 7/8/2025, Address: 270 Pond View Drive Tiger GA 30576, 4 total hours per month; 4 during securities trading, Investment Related, Less than 10% Annual Compensation,

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1985-06-18
  • S63 Uniform Securities Agent State Law Examination
    1985-06-18

View on SEC IAPD

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