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Account
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10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NV | RA | APPROVED | 2024-08-21 |
| VA | RA | APPROVED | 2022-10-17 |
| ME | RA | APPROVED | 2022-10-06 |
| OH | RA | APPROVED | 2022-08-05 |
| NY | RA | APPROVED | 2021-04-16 |
| PA | RA | APPROVED | 2020-06-08 |
| NC | RA | APPROVED | 2019-04-12 |
| FL | RA | APPROVED | 2017-02-01 |
| NJ | RA | APPROVED | 2012-09-20 |
| CA | RA | APPROVED | 2012-09-19 |
| IL | RA | APPROVED | 2012-09-18 |
| NH | RA | APPROVED | 2010-02-03 |
| CT | RA | APPROVED | 2004-01-09 |
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
Palm Desert, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Park Avenue Securities | Rye Brook | NY | 07/2003 | Present |
| Guardian Life Insurance | Rye Brok | NY | 07/2003 | Present |
| Guardian Life Insurance | New York | NY | 02/2016 | Present |
| Park Avenue Securities | New York | NY | 02/2016 | Present |
| Guardian Life Insurnace | Jericho | NY | 02/2016 | 09/2024 |
| Park Avenue Securities | Jericho | NY | 02/2016 | 09/2024 |
| Park Avenue Securities | Palm Desert | CA | 11/2020 | Present |
| Guardian Life Insurance | Palm Desert | CA | 11/2020 | Present |
1. Insurance Brokerage-broker with carriers other than Guardian, Start: 05/01/2013, Address: 800 Westchester Ave., Ste. N409 Rye Brook, NY 10573, 10 bus hrs per month, Investment related, >10% annual compensation, 2) Lincoln Sherman Trust-trustee nephew, Start: 06/30/2004, Address: 73440 Broken Arrow Trail Palm Desert, CA 92260, 0 total hours per month, Not investment related, No annual compensation,
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-12-22 |
| S63 | Uniform Securities Agent State Law Examination | 2003-09-30 |
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