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10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ME | RA | APPROVED | 2024-09-17 |
| MI | RA | APPROVED | 2024-04-16 |
| VT | RA | APPROVED | 2023-07-12 |
| IN | RA | APPROVED | 2023-01-10 |
| SC | RA | APPROVED | 2022-09-21 |
| HI | RA | APPROVED | 2022-05-23 |
| VA | RA | APPROVED | 2021-09-08 |
| NY | RA | APPROVED | 2021-04-16 |
| MD | RA | APPROVED | 2020-10-29 |
| LA | RA | APPROVED | 2020-09-09 |
| IA | RA | APPROVED | 2019-06-28 |
| DC | RA | APPROVED | 2018-06-11 |
| NH | RA | APPROVED | 2018-05-15 |
| NV | RA | APPROVED | 2018-01-30 |
| CO | RA | APPROVED | 2016-06-30 |
| TX | RA | APPROVED_RES | 2014-08-20 |
| AZ | RA | APPROVED | 2012-07-30 |
| MO | RA | APPROVED | 2012-01-31 |
| PA | RA | APPROVED | 2011-04-13 |
| GA | RA | APPROVED | 2011-02-15 |
| NC | RA | APPROVED | 2009-09-16 |
| IL | RA | APPROVED | 2009-09-14 |
| WA | RA | APPROVED | 2007-09-25 |
| MA | RA | APPROVED | 2007-08-07 |
| OH | RA | APPROVED | 2007-08-07 |
| CA | RA | APPROVED | 2007-08-02 |
| DE | RA | APPROVED | 2007-08-01 |
| FL | RA | APPROVED | 2005-06-17 |
| CT | RA | APPROVED | 2005-06-16 |
| NJ | RA | APPROVED | 2005-05-27 |
Branch Locations
800 Westchester Avenue 4Th Floor Suite N409, Rye Brook, NY 10573 • United States
New Rochelle, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Westchester Advisory Group | Harrison | NY | 10/2001 | Present |
| Guardian Life Insurance Co Of America | Rye Brook | NY | 06/2010 | Present |
| Park Avenue Securities Llc | Rye Brook | NY | 06/2010 | Present |
| Guardian Life Insurance Company | White Plains | NY | 06/2024 | 08/2024 |
| Park Avenue Securities | White Plains | NY | 06/2024 | 08/2024 |
| Guardian Life Insurance Company | New Rochelle | NY | 08/2024 | Present |
| Park Avenue Securities | New Rochelle | NY | 08/2024 | Present |
1) Outside Business-Provide life health long term care and disability insurance, Start: 12/02/2014, Address: 800 Westchester Ave N409 Rye Brook NY 10573, 10 total hours per month; 10 during securities trading hours, Less than 10% annual compensation, Investment related, 2) BlackRock Models Advisory Council-provide a forum to give feedback on Models platform and help inform the evolution of resources and strategy for better serving clients,. Start: 03/01/2022, Address: 800 Westchester Ave N409 Rye Brook NY 10573, 1 total hour per month; 1 during securities trading hours, No annual compensation, Investment related, 3) Advisor to the Company Lancaster Systematic Inc., Start: 06/01/2024, Address: 87 Saxon Wood Road White Plains NY 10605, 5 total hour per month; 2 during securities trading hours, Less than 10% annual compensation, Investment related, 4) Advisor to the Tristate Capital Private Bank Client Advisory Board-providing feedback on the existing PAS client experience as well as suggesting additional ways TriState can improve the PAS approved lending offerings and ongoing service model. Start: 07/01/2024, Address: 800 Westchester Ave Suite N409 Rye Brook NY 10573, 1 total hour per month; 1 during securities trading hours, No annual compensation, Not investment related, 5) KapFai LLC-Partner, Nature of Business: vehicle for a private investment,. Start date: 04/20/2026, Address: 404 Northern Blvd Great Neck NY 11021, Duties: member, 1 total hours per month; 1 during securities trading hours, Investment related,
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-04-18 |
| S63 | Uniform Securities Agent State Law Examination | 2002-07-13 |
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