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51 Madison Avenue 12Th Floor, New York, NY 10010 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2019-06-06 |
| SD | RA | APPROVED | 2019-06-06 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| New York Life Insurance Comapny | Sioux Falls | SD | 05/2001 | Present |
[INSURANCE BROKERING; APPOINTED WITH OUTSIDE CARRIERS FOR THE PURPOSE OF BROKERING NON-REGISTERED INSURANCE PRODUCTS; investment related; insurance broker; start date 11/2007;110 1st ST SW Orange City IA 51041] [NYLARC; New York Life Agent Reinsurance Company; 210 Park Avenue 2nd Floor, Florham Park, NJ 07932; Start Date 07/2018; Role/Title: Investor; Investment Related; 0 hours per month; 0 hours per month during securities trading hours] [Stewarts Landing Condo Association; Condo property with an association and board; 103 21st Street, Spirit Lake, Iowa 51360; Start Date 06/2021; Role/Title: Board Member; Not Investment Related; 2 hours per month; 0 hours per month during securities trading hours; President - Have quarterly meetings with other board members every year to make sure things are running smoothly]
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-05-20 |
| S63 | Uniform Securities Agent State Law Examination | 2001-09-26 |
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