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Gwendolyn D.  Chatham

Gwendolyn D. Chatham

Park Avenue Securities LLC

(877) 305-1600 x7240
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professional profile

Year CFP® Certification Received

Planning Services Offered

  • Investment Planning
  • Comprehensive Financial Planning
  • Retirement Planning

Your Minimum Investable Assets

  • $500,000

Languages

  • English

Disclosures

CFP Board Public Disciplinary History

Effective Date: 12/10/2004

In December 2004, CFP Board issued Ms. Biggs a public letter of admonition for matters related to a complaint brought against her by a former client. After conducting an investigation and holding a hearing on the matters, the Board of Professional Review (Board) found that: 1) Ms. Biggs recommended that her client cash out annuities he inherited from his spouse without understanding the tax implications associated therewith; 2) she recommended and sold the same client more annuities, which were unsuitable given his age, other assets and income; 3) without first consulting her broker/dealer, she took advantage of her client’s trust and convinced him to loan her $300,000 for the purchase of a condominium in Hawaii; 4) without first conducting a thorough analysis regarding the interests and objectives of her client, she recommended he surrender the annuities he had inherited and purchase new annuities – this recommendation did not benefit Ms. Biggs’ client, but did produce substantial commissions for her; 5) she attempted to obtain and/or did obtain a loan from her client wherein she was only obligated to make payments under the proposed loan until his death and there was no obligation for her to repay the loan in full or compensate the client’s estate upon his death; 6) the loan she attempted to take and/or took from her client was not in his best interests; and 7) she failed to disclose to her client, in writing, the risks relating to his loaning substantial amounts of money to her. Ms. Biggs retains the right to use the CFP marks.

Disclosure Under CFP Board’s Prior Bankruptcy Disclosure Procedures
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Until June 30, 2020, CFP Board made public disclosures about CFP® professionals who had filed a personal or business bankruptcy. These were disclosures and not disciplinary actions or sanctions. These disclosures stay on CFP Board’s website for 10 years. There are more details below on this page.

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Disclosure Information

CFP Board makes available information that a CFP® professional has provided about his or her practice. CFP Board also provides information about any CFP® professional that CFP Board has publicly disciplined or any professional who made a bankruptcy disclosure to CFP Board (more details about bankruptcy below). We cannot guarantee the information the CFP® professional has provided is accurate or complete. You should verify the accuracy of the information yourself.

While the information on this website may be useful to you, there may be more information from other sources you will need or want. Provided below are links to other sources of information about CFP® professionals that may be more recent or that may contain information that has not led to CFP Board discipline and does not appear on CFP Board’s website. The information may include customer disputes, disciplinary actions taken by a regulator or employer, certain criminal matters, and certain financial matters (such as bankruptcy proceedings and unpaid judgments or liens). The links provided below may provide additional information only if the CFP® professional is subject to the oversight of that regulator or SRO. If the CFP® professional is not subject to their oversight, then the link will not provide access to any additional information about that person.

  • You can find information about CFP® professionals who are subject to Financial Industry Regulatory Authority (FINRA) or Securities and Exchange Commission (SEC) oversight through FINRA’s BrokerCheck and the SEC’s Investment Adviser Public Disclosure databases. Both are free tools you can use to conduct research.
  • Visit your state securities regulator’s website for more information about brokers and investment advisers and your state insurance department website for more information about insurance professionals.
  • Visit the Office of the Comptroller of the Currency (OCC) website to search for enforcement actions against individuals who are subject to OCC oversight.
  • Conduct an Internet search on the CFP® professional’s name (and business name).

About Bankruptcies

Effective June 30, 2020, CFP Board may publicly sanction a CFP® professional for a personal or business bankruptcy that violates CFP Board’s Code of Ethics and Standards of Conduct. (There is no violation if the CFP® professional can make a case that the bankruptcy does not reflect on the professional’s ability to responsibly manage his or her own financial affairs or the financial affairs of the business.) You can find public sanctions in the “CFP Board Public Disciplinary History.” Under the “Prior Bankruptcy Disclosure Procedures” that applied from July 2012 – June 2020, CFP Board published information about a CFP® professional’s verified single bankruptcy in a press release and on CFP Board’s website. These were disclosures, not discipline or sanctions, and remain on CFP Board’s website for 10 years. You may learn more about the disclosure procedures here. You can learn more information about a bankruptcy filing at the U.S. Court’s website. You will be required to register and pay a nominal fee to view the information on that website.