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Catherine Nan Shi

Park Avenue Securities LLC

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About Catherine Nan Shi

Catherine Nan Shi is a financial professional with Park Avenue Securities LLC. Catherine holds Series 6, 63, and SIE licenses, and has been in the financial services industry since 2011. Catherine previously worked with State Farm VP Management Corp. in Bloomington, Illinois. Catherine specializes in the following areas: Portfolio Management for Individuals, Financial Planning, Educational Seminars and Selection of Other Advisors. Catherine has a state-based registration with California. Catherine is located in Los Angeles, California.

Firm Information

Catherine Shi is currently registered with Park Avenue Securities LLC. Park Avenue Securities LLC is a Limited Liability Company registered in the state of New York and has been operating since August 20, 1998. They provide financial planning and portfolio management services to individuals, high net worth individuals, corporations, pension and profit-sharing plans, charitable organizations, and captive insurance clients. The firm has a nationwide reach with registered offices in 53 states and the District of Columbia.
Park Avenue Securities LLC

10 HUDSON YARDS

NEW YORK, NY 10001

$11.88B

Assets Under Management

38,141

Total Clients

2,244

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Catherine Shi’s Registration & Firm History

CA

08/15/2023 - Present

Park Avenue Securities LLC (LOS ANGELES CA)

IL

04/20/2019 - 08/26/2021

STATE FARM VP MANAGEMENT CORP. (BLOOMINGTON IL)

IL

12/20/2011 - 08/17/2016

STATE FARM VP MANAGEMENT CORP. (BLOOMINGTON IL)

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Licenses & Designations

BC

Issued 04/27/2019

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/20/2019

Series 6TO - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 08/17/2016

SIE - Securities Industry Essentials Examination

BC

Issued 12/19/2011

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Catherine Nan Shi. Review regulatory record here.
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