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10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WY | RA | APPROVED | 2024-05-01 |
| VA | RA | APPROVED | 2022-11-21 |
| CO | RA | APPROVED | 2022-09-29 |
| UT | RA | APPROVED | 2021-08-19 |
| WA | RA | APPROVED | 2021-07-29 |
| TX | RA | APPROVED_RES | 2021-05-03 |
| NY | RA | APPROVED | 2021-04-16 |
| IL | RA | APPROVED | 2021-02-19 |
| NJ | RA | APPROVED | 2021-02-18 |
| ID | RA | APPROVED | 2021-02-03 |
| LA | RA | APPROVED | 2020-12-04 |
| OK | RA | APPROVED | 2020-04-02 |
| NV | RA | APPROVED | 2018-12-07 |
| OR | RA | APPROVED | 2017-04-25 |
| AZ | RA | APPROVED | 2017-03-28 |
| FL | RA | APPROVED | 2017-03-27 |
| CA | RA | APPROVED | 2017-03-21 |
Branch Locations
6455 South Yosemite Street Suite 425, Greenwood Village, CO 80111 • United States
Cheyenne, WY • United States
215 W. Oak Street Suite 6, Lodi, CA 95241 • United States
1 disclosure category 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 |
|---|---|---|---|---|
| Bregman Financial | Lodi | CA | 05/1997 | Present |
| Nyl Securities | Lodi | CA | 04/2003 | 02/2017 |
| Guardian Life Insurance | Lodi | CA | 03/2017 | Present |
| Park Avenue Securities | Lodi | CA | 03/2017 | Present |
| Guardian Life Insurance | Ft Collins | CO | 12/2023 | 12/2025 |
| Park Avenue Securities | Ft Collins | CO | 12/2023 | 12/2025 |
| Guardian Life Insurance | Cheyenne | WY | 10/2023 | Present |
| Park Avenue Securities | Cheyenne | WY | 10/2023 | Present |
| Guardian Life Insurance | Greenwood Village | CO | 12/2025 | 01/2026 |
| Park Avenue Securities | Greenwood Village | CO | 12/2025 | 01/2026 |
| Guardian Life Insurance | Fort Collins | CO | 01/2026 | 01/2026 |
| Park Avenue Securities | Fort Collins | CO | 01/2026 | 01/2026 |
| Guardian Life Insurance | Greenwood Village | CO | 01/2026 | Present |
| Park Avenue Securities | Greenwood Village | CO | 01/2026 | Present |
1. Bregman Financial & Insurance Services, Inc.-Sales of Fixed Annuities, Fixed Life Insurance, LTC, Group Medical, Life, Dental, Vision, Start: 07/01/1997, Address: 215 W. Oak St, #6 Lodi, CA 95240, 15 total hours per month / 15 during securities trading hours, Less than 10% annual compensation, Investment related, 2. Rentals- own rental property, Start: 01/01/2003, Address: 11701 E Kettleman Ln Lodi, CA 95240, 2 total hours per month / 2 during securities trading hours, Less than 10% annual compensation, Investment related, 3. Trustee-Trustee on Family Members Trust's:, Father and 2 uncles, Start: 07/01/2010, Address: 11701 E. Kettleman Ln Lodi, CA 95240, 1 total hour per month / 1 during securities trading hours, No annual compensation, Investment related, 4. Agriculture, raising of crops or animals, boarding and caring for animals, Start: 11/01/2023, Address: 5230 Klipstein Rd., Cheyenne, WY, 10 total hours per month / 5 during securities trading hours, Less than 10% annual compensation, Not investment related, 5) Lodi Police Foundation / Lodi Crime Stoppers-Board member, Nature of Business: raise funds for the Police Foundation and the Lodi Crime Stoppers, Start date: 11/20/2025, Address: 215 W. Elm Street, Lodi, CA 95240, Duties: oversee how the funds are spent, 3 total hours per month; 1 during securities trading hours, Not investment related,
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-21 |
| S63 | Uniform Securities Agent State Law Examination | 1999-10-05 |
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