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10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2026-01-15 |
| PA | RA | APPROVED | 2026-01-09 |
| WV | RA | APPROVED | 2023-11-27 |
| IA | RA | APPROVED | 2022-07-21 |
| AK | RA | APPROVED | 2021-12-21 |
| ID | RA | APPROVED | 2018-12-12 |
| TX | RA | APPROVED_RES | 2017-03-27 |
| SC | RA | APPROVED | 2015-09-08 |
| NC | RA | APPROVED | 2015-01-22 |
| IL | RA | APPROVED | 2014-07-21 |
| WA | RA | APPROVED | 2012-06-05 |
| NJ | RA | APPROVED | 2011-09-21 |
| MI | RA | APPROVED | 2010-09-21 |
| CA | RA | APPROVED | 2006-10-20 |
| MD | RA | APPROVED | 2006-04-19 |
| GA | RA | APPROVED | 2005-08-25 |
| IN | RA | APPROVED | 2004-08-24 |
| FL | RA | APPROVED | 2003-06-27 |
| UT | RA | APPROVED | 2003-06-26 |
| KY | RA | APPROVED | 2001-04-11 |
| OH | RA | APPROVED | 2001-04-11 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Park Ave Sec | Cincinnati | OH | 08/2000 | Present |
| Guardian Life Ins Co | Cincinnati | OH | 08/2000 | Present |
1. WILLIAM T HOOVER (Ins other than Guardian) Provide life, disability, long term care, group insurance benefits and fixed annuties from various outside carriers. Start: 10/01/2001 Address: 419 Plum Street Cincinnati OH 45202 1 bus hr per month Investment related 2. Northern Kentucky University School of Business Advisory Board I have been asked to join a board that Advises the Dean for the Northern Kentucky University School of Business. Provide the Dean with a think tank and ready made network of local business leaders. Start: 12/01/2018 Address: 305A Nunn Drive Highland Heights KY 41075 1 bus hr per month Not investment related, 3. Military Commons HOA Board Member-Treasurer, Start: 11/01/2015, Address: 16 Greene Street Fort Thomas KY 41075, 3 total hrs per month; 0 during securities trading hours, Not investment related, No Annual Compensation,
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-12-19 |
| S63 | Uniform Securities Agent State Law Examination | 2000-09-27 |
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