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10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2024-05-14 |
| CO | RA | APPROVED | 2024-01-05 |
| IL | RA | APPROVED | 2022-02-23 |
| DE | RA | APPROVED | 2022-02-21 |
| NY | RA | APPROVED | 2021-04-16 |
| MD | RA | APPROVED | 2020-02-11 |
| CA | RA | APPROVED | 2020-01-09 |
| CT | RA | APPROVED | 2005-04-19 |
| NJ | RA | APPROVED | 2003-02-25 |
Branch Locations
800 Westchester Avenue 4Th Floor Suite N409, Rye Brook, NY 10573 • United States
437 Madison Avenue 29Th Floor, New York, NY 10022 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Guardian Life Insurance Co. Of America | Rye Brook | NY | 03/1997 | Present |
| Park Avenue Securities Llc | Rye Brook | NY | 05/1999 | Present |
| Park Avenue Securities Llc | New York | NY | 04/2015 | Present |
| Guardian Life Insurance Company | New York | NY | 04/2015 | Present |
| Park Avenue Securities | Jericho | NY | 04/2015 | 09/2024 |
| Guardian Life Insurance Company | Jericho | NY | 04/2015 | 09/2024 |
1. Hardscrabble Hill Holdings LLC- I created the legal entity when I purchased my Partnership interests in our General Agency., Start: 01/01/2017, Address: 800 Westchester Avenue 4th Floor; Rye Brook NY 10573, 160 bus hrs per month, Investment related, 2) Sliver Lining P&C Alliance-Strategies Associates refer P&C business to Silver Lining, Start: 09/09/2020, Address: 437 Madison Avenue 29th Floor New York, NY 10022, 0 total hour per month, Investment related, Less than 10% annual compensation, 3) Strat Partners Succession LLC-hold life insurance policies pursuant to our buy/sell agreement Start: 06/14/2024, Address: 800 Westchester Ave, Rye Brook, NY 10573, 0 total hour per month, Not investment related, No annual compensation, 4) Insurance other than Guardian-Independent contractor, Nature of Business: Insurance sales, Start date: 01/01/2015, Address: 800 Westchester Ave Rye Brook, NY 10573, Duties: Insurance other than Guardian 1 total hours per month; 1 during securities trading hours, Investment related, 5) Board of Directors of Finseca,, Nature of Business: Insurance sales, Start date: 06/01/2026, Address: 800 Westchester Ave Rye Brook, NY 10573, Duties: Advisory Board, 3 total hours per month; 3 during securities trading hours, Not investment related,
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-23 |
| S63 | Uniform Securities Agent State Law Examination | 1997-10-24 |
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