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10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2026-06-03 |
| OR | RA | APPROVED | 2025-11-07 |
| KY | RA | APPROVED | 2025-09-30 |
| KS | RA | APPROVED | 2025-08-06 |
| MD | RA | APPROVED | 2025-07-31 |
| NY | RA | APPROVED | 2021-04-16 |
| SC | RA | APPROVED | 2021-02-19 |
| TX | RA | APPROVED | 2019-06-20 |
| GA | RA | APPROVED | 2018-09-20 |
| AZ | RA | APPROVED | 2017-04-24 |
| FL | RA | APPROVED | 2013-06-24 |
| NC | RA | APPROVED | 2004-04-01 |
Branch Locations
5511 Capital Center Drive Suite 104, Raleigh, NC 27606 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Mutual Life Insurance Co | Des Moines | IA | 03/1996 | Present |
| Guardian Life Insurance Co. Of America | Charlotte | NC | 04/2013 | Present |
| Park Avenue Securities Llc | Charlotte | NC | 04/2013 | Present |
| Cp Advisory Services, Inc. | Charlotte | NC | 06/1997 | Present |
1. Outside Guardian Insurance Sell non Guardian life LTC and LTD products Start: 06/01/1997 Address: 2626 Glenwood Ave.; Suite 450 Raleigh, NC 27608 6 bus hrs per month Investment related >10% annual compensation
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-29 |
| S63 | Uniform Securities Agent State Law Examination | 1996-06-12 |
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