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10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2025-07-14 |
| SC | RA | APPROVED | 2025-06-02 |
| CT | RA | APPROVED | 2024-08-08 |
| CO | RA | APPROVED | 2024-05-20 |
| NV | RA | APPROVED | 2024-04-11 |
| CA | RA | APPROVED | 2023-04-06 |
| MT | RA | APPROVED | 2022-10-13 |
| DE | RA | APPROVED | 2022-03-22 |
| NY | RA | APPROVED | 2021-04-16 |
| GA | RA | APPROVED | 2021-04-14 |
| NC | RA | APPROVED | 2018-02-07 |
| PA | RA | APPROVED | 2016-01-06 |
| FL | RA | APPROVED | 2015-01-20 |
| VA | RA | APPROVED | 2009-03-10 |
| MD | RA | APPROVED | 2008-10-29 |
| NJ | RA | APPROVED | 2008-10-29 |
Branch Locations
50 Tice Blvd Suite 280, Woodcliff Lake, NJ 07677 • United States
100 Enterprise Drive Suite 203A, Rockaway, NJ 07866 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Minnesota Life | St Paul | MN | 05/2001 | 11/2022 |
| Union Central Life | Leesburg | VA | 10/2002 | 11/2022 |
| Guardian Life Insurance Co Of America | Bloomfield | NJ | 07/2012 | 11/2021 |
| Park Avenue Securities Llc | Bloomfield | NJ | 07/2012 | 11/2021 |
| Guardian Life Insurance Company | Shrewsbury | NJ | 11/2021 | 11/2022 |
| Park Avenue Securities | Shrewsbury | NJ | 11/2021 | 11/2022 |
| Guardian Life Insurance Company | Woodcliff Lake | NJ | 11/2022 | Present |
| Park Avenue Securities | Woodcliff Lake | NJ | 11/2022 | Present |
| Guardian Life Insurance Company | Rockaway | NJ | 06/2024 | Present |
| Park Avenue Securities | Rockaway | NJ | 06/2024 | Present |
1) Insurance product sales outside of Guardian-insurance products from companies other than Guardian are recommended to clients, Start: 10/06/2010, Address: 100 Enterprise Drive, Suite 203A, Rockaway, NJ 07866, 30 business hours per month, 30 during securities trading hours, Greater than 10% annual compensation, Investment related, 2) Planning Alliance Consulting, LLC (ValMax Consulting, LLC), Fee based consulting for business and estates, Start: 11/21/2016, Address: 100 Enterprise Drive, Suite 203A, Rockaway, NJ 07866, 10 total business hours per month, 10 during securities trading hours, Less than 10% annual compensation, Not investment related, 3) Power of Attorney-wife Start: 07/02/2021, Address: 32 Crescent Drive Whippany, NJ 07981, 0 total hours per month, No annual compensation, Not investment related, 4) Castlebridge Financial LLC, Start: 03/07/2025, Address: 32 Crescent Drive Whippany, NJ 07981, 1 total hour per month, 0 during securities trading hours, Not Investment Related, No Annual Compensation, 5) Lucid Trading Group, LLC-passive investor and have no input or activities in the day to day operations Start: 03/17/2025, Address: 3500 S. Dupont Highway Dover, DE 19901, 0 total hours per month, Investment Related, No Annual Compensation
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-10-21 |
| S66 | Uniform Combined State Law Examination | 2001-05-24 |
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