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10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MD | RA | APPROVED | 2024-10-29 |
| PA | RA | APPROVED | 2024-10-29 |
| MA | RA | APPROVED | 2022-04-25 |
| IL | RA | APPROVED | 2022-03-08 |
| NY | RA | APPROVED | 2021-04-16 |
| FL | RA | APPROVED | 2014-07-08 |
| TX | RA | APPROVED_RES | 2013-04-23 |
| CA | RA | APPROVED | 2012-04-12 |
| NC | RA | APPROVED | 2007-10-03 |
| NJ | RA | APPROVED | 2005-02-17 |
| CT | RA | APPROVED | 2004-10-27 |
Branch Locations
800 Westchester Avenue 4Th Floor Suite N409, Rye Brook, NY 10573 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Park Avenue Securities | White Plains | NY | 09/2001 | 12/2019 |
| Guardian Life Insurance Company Of America | White Plains | NY | 09/2001 | 12/2019 |
| Guardian Life Insurance Company | Rye Brook | NY | 12/2019 | Present |
| Park Avenue Securities | Rye Brook | NY | 12/2019 | Present |
1. Life/Annuities outside of Guardian-Outside life insurance and fixed annuity business., Start: 09/01/2001, Address: 800 Westchester Ave, Rye Brook, NY 10573, Hrs per month - Tot/Bus: 40/20, Investment related, >10% annual compensation, 2. The Opus Foundation-Raise money through annual golf outing and possible other events (such as dinner events, wine tasting, etc.) The Foundation serves to provide gifts to local charitable organizations in need., Start: 01/01/2002, Address: 800 Westchester Avenue Rye Brook, NY 10573, 1 non bus hr per month, Not investment related, 3. Opus Private Client, LLC-New DBA which will be used market all products approved for sale by Guardian/PAS, Start: 01/16/2018, Address: 800 Westchester Avenue Rye Brook, NY 10573, Hrs per month - tot/bus: 240/160, Investment related, >10% annual compensation, 4.) Personal Estate Planning- Co-trustee of a revocable trust my wife established, Executor, health care representative, and power of attorney for my wife's estate planning documents, Start: 10/28/2021 Address: 60 Tally Ho Road Ridgefield, CT 06877, 0 total hours per month, Not investment related, No annual compensation, 5) Co-trustee of the Russell Carpentieri Irrevocable Life Insurance Trust, Start: 04/18/2022, Address: N/A, 0 total hours per month, Not investment related, No annual compensation, 6) Co-trustee of the Russell Carpentieri Revocable Trust, Start: 04/18/2022, Address: N/A, 0 total hours per month, Not investment related, No annual compensation, 7) Co-Trustee of Michael A. Perry Trust, Start:08/29/2022, Address: N/A, 1 total hours per month; 0 during securities trading hours, Not investment related, No annual compensation,
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-03-01 |
| S63 | Uniform Securities Agent State Law Examination | 2001-07-11 |
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