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10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OR | RA | APPROVED | 2025-04-21 |
| CO | RA | APPROVED | 2022-11-14 |
| SC | RA | APPROVED | 2022-05-05 |
| AZ | RA | APPROVED | 2022-04-22 |
| FL | RA | APPROVED | 2022-04-13 |
| LA | RA | APPROVED | 2022-03-21 |
| TX | RA | APPROVED_RES | 2022-03-14 |
| NV | RA | APPROVED | 2020-09-17 |
| WA | RA | APPROVED | 2018-03-30 |
| CA | RA | APPROVED | 2018-03-27 |
Branch Locations
5280 Carroll Canyon Road Suite 300, San Diego, CA 92121 • United States
San Diego, CA • 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 Of America | San Diego | CA | 06/2003 | 10/2017 |
| Park Avenue Securities | San Diego | CA | 01/2005 | 10/2017 |
| Guardian Life Insurance Company | La Jolla | CA | 10/2017 | 10/2021 |
| Park Avenue Securities | La Jolla | CA | 10/2017 | 10/2021 |
| Guardian Life Insurance Company | San Diego | CA | 10/2021 | Present |
| Park Avenue Securities | San Diego | CA | 10/2021 | Present |
| Guardian Life Insurance Company | San Diego | CA | 06/2024 | Present |
| Guardian Life Insurance Company | San Diego | CA | 06/2024 | Present |
1) Board Member - Peninsula YMCA, assist in buildings and maintenance to ensure that the grounds are maintained to support its members, Start: 10/01/2012, Address: 4390 Valeta Street San Diego, CA 92107, 3 total hours per month, 0 during securities trading hours, Not investment related, No annual compensation, 2) Insurance-licensed with various carriers to offer, Life, Disability, Long Term Care insurance, and health insurance, Start: 01/01/2003, Address: 3111 Camino Del Rio N, Suite 1150 San Diego, CA 92108, 5 total hours per month, 5 during securities trading hours, Investment related, Less than 10% annual compensation, 3) Boy Scouts of America San Diego Imperial Council-Board Member, Start: 05/15/2017, Address: 41207 Upas St. San Diego, CA 9203, 3 total hours per month, 3 during securities trading hours, Not investment related, No annual compensation, 4) Trustee for financial matters for Parents, Start: 09/01/2020, Address: 3510 Elliott St San Diego, CA 92106, 2 total hours per month, 0 during securities trading hours, Not Investment related, No annual compensation, 5) President, R&A-men's mentoring group, Start: 05/01/2022, Address: 5505 Caminito Mundano, San Diego, CA 92130, 2 total hours per month, 0 during securities trading hours, Not Investment related, No annual compensation, 6) President-San Diego Rotary Club, Nature of Business: Rotary club, Start date: 07/01/2026, Address: 2247 San Diego Avenue, Suite 233 San Diego, CA 92110-2943, Duties: Help with guiding the future of the club and non-profit activities. In charge of managing committees. Vote on resolutions of the club, 5 total hours per month; 2 during securities trading hours, Not investment related, Start: 7/1/2025, Address: 3 total hours per month, 2 during securities trading hours Not Investment related, No annual compensation,
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-03-14 |
| S63 | Uniform Securities Agent State Law Examination | 2005-11-03 |
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