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10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MD | RA | APPROVED | 2026-05-18 |
| WI | RA | APPROVED | 2025-10-15 |
| NJ | RA | APPROVED | 2025-03-07 |
| NC | RA | APPROVED | 2022-12-09 |
| CA | RA | APPROVED | 2021-10-05 |
| NY | RA | APPROVED | 2021-04-16 |
| MA | RA | APPROVED | 2021-03-16 |
| FL | RA | APPROVED | 2020-06-15 |
| CO | RA | APPROVED | 2020-03-31 |
| RI | RA | APPROVED | 2020-03-30 |
| DC | RA | APPROVED | 2020-02-26 |
| ME | RA | APPROVED | 2020-01-29 |
| CT | RA | APPROVED | 2020-01-28 |
| VA | RA | APPROVED | 2020-01-18 |
| GA | RA | APPROVED | 2020-01-17 |
| TX | RA | APPROVED_RES | 2020-01-16 |
Branch Locations
600 Delaware Avenue, Buffalo, NY 14202 • United States
Buffalo, NY • United States
3 disclosure categories 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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Buffalo | NY | 05/2001 | 11/2019 |
| Guardian Life Insurance Co Of America | Buffalo | NY | 01/2020 | Present |
| Park Avenue Securiites, Llc | Buffalo | NY | 01/2020 | Present |
1. Derbyshire LLC-Manager of the LLC, I am listed to ensure orderly succession in the event my wife is unable to act., Start: 08/19/2019, Address: 905 Sturgeon Point Rd, Derby NY 14047, 2 non bus hrs. per month, Not investment related, 2) Insurance other than Guardian, Start: 08/01/2025, Address: 600 Delaware Ave, Buffalo NY 14202, 0 total hours per month, Investment related, Less than 10% annual compensation,
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-08-30 |
| S63 | Uniform Securities Agent State Law Examination | 1990-02-09 |
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