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10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2026-03-24 |
| FL | RA | APPROVED | 2022-01-06 |
| OH | RA | APPROVED | 2021-11-02 |
| DC | RA | APPROVED | 2020-11-05 |
| AL | RA | APPROVED | 2019-03-26 |
| VA | RA | APPROVED | 2019-01-09 |
| SC | RA | APPROVED | 2011-03-14 |
| NC | RA | APPROVED | 2010-02-25 |
Branch Locations
6115 Park South Drive Suite 200, Charlotte, NC 28210 • United States
Charlotte, NC • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Guardian Life Insurance Company | Charlotte | NC | 02/2010 | Present |
| Park Avenue Securities | Charlotte | NC | 02/2010 | Present |
1. Insurance other than Guardian I use CBS brokerage as a resource for Life Insurance policies for clients. Start: 12/18/2018 Address: 250 Fuller Street #200 Shakopee, MN 55379 2 bus hrs per month Investment related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-10-09 |
| S66 | Uniform Combined State Law Examination | 2000-12-16 |
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