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10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2026-06-15 |
| CT | RA | APPROVED | 2026-01-23 |
| SC | RA | APPROVED | 2025-08-14 |
| MI | RA | APPROVED | 2025-05-21 |
| NY | RA | APPROVED | 2024-10-18 |
| GA | RA | APPROVED | 2023-05-04 |
| OR | RA | APPROVED | 2023-01-05 |
| VA | RA | APPROVED | 2022-08-01 |
| FL | RA | APPROVED | 2021-09-17 |
| NV | RA | APPROVED | 2021-08-05 |
| WY | RA | APPROVED | 2021-06-09 |
| ID | RA | APPROVED | 2020-09-08 |
| AZ | RA | APPROVED | 2019-04-24 |
| AR | RA | APPROVED | 2019-01-04 |
| WA | RA | APPROVED | 2018-03-26 |
| TX | RA | APPROVED_RES | 2017-10-20 |
| CO | RA | APPROVED | 2017-09-11 |
| SD | RA | APPROVED | 2017-09-11 |
| CA | RA | APPROVED | 2017-09-08 |
Branch Locations
2875 Michelle Drive Suite 110, Irvine, CA 92606 • United States
Orange, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| National Planning Corporation | Culver City | CA | 03/1999 | 09/2017 |
| Trilogy Capital, Inc. | Irvine | CA | 11/2015 | 09/2017 |
| Guardian Life Insurance Company | Newport Beach | CA | 08/2017 | 08/2020 |
| Park Avenue Securities | Newport Beach | CA | 09/2017 | 08/2020 |
| Guardian Life Insurance | Irvine | CA | 09/2020 | 06/2024 |
| Park Avenue Securities | Irvine | CA | 09/2020 | 06/2024 |
| Guardian Life Insurance Company | Orange | CA | 06/2024 | Present |
| Park Avenue Securities | Orange | CA | 06/2024 | Present |
1. Insurance sales outside of Guardian, Life insurance sales, Start: 09/11/2017, Address: 4675 Macarthur Court #725, Newport Beach CA 92660, 15 total hours per month / 5 during securities trading hours, Less than 10% annual compensation, Investment related, 2. CLC Incorporated, Speak to a group of employees at places CLC solicits for lunch and learns, Start: 12/14/2017, Address: N/A, 1 total hour month / 1 during securities trading hours, Less than 10% annual compensation, Not investment related, 3. High School kicking coach- Orange Lutheran High School, High school kicking coach, Start: 07/08/2019, Address: 2222 N Santiago Blvd, Orange CA 92867, 24 total hours per month / 0 during securities trading hours, Less than 10% annual compensation, Not investment related, 4. Executor Mom's Living Trust, Start: 05/01/2023, Address: 2865 Winterhaven Drive LK Havasu City AZ 86404-3275, 1 total business hour per month / 0 during securities trading hours, No annual compensation, Not investment related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-30 |
| S63 | Uniform Securities Agent State Law Examination | 1996-07-30 |
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