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10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AR | RA | APPROVED | 2023-08-10 |
| SC | RA | APPROVED | 2022-03-03 |
| IN | RA | APPROVED | 2021-11-04 |
| DC | RA | APPROVED | 2021-05-21 |
| NY | RA | APPROVED | 2021-04-16 |
| VA | RA | APPROVED | 2019-10-16 |
| IL | RA | APPROVED | 2017-01-06 |
| CA | RA | APPROVED | 2014-03-28 |
| NC | RA | APPROVED | 2012-09-03 |
| GA | RA | APPROVED | 2011-06-07 |
| PA | RA | APPROVED | 2011-04-11 |
| TX | RA | APPROVED_RES | 2011-01-04 |
| MA | RA | APPROVED | 2008-01-10 |
| NJ | RA | APPROVED | 2006-04-27 |
| CT | RA | APPROVED | 2005-02-15 |
| FL | RA | APPROVED | 2005-02-04 |
Branch Locations
800 Westchester Avenue 4Th Floor Suite N409, Rye Brook, NY 10573 • United States
Old Greenwich, CT • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Guardian Life Insurance Co | Purchase | NY | 08/2004 | 12/2019 |
| Park Avenue Securities | Purchase | NY | 08/2004 | 12/2019 |
| Guardian Life Insurance Company | Rye Brook | NY | 12/2019 | Present |
| Park Avenue Securities | Rye Brook | NY | 12/2019 | Present |
| Guardian Life Insurance Company | Old Greenwich | CT | 06/2024 | Present |
| Park Avenue Securities | Old Greenwich | CT | 06/2024 | Present |
1. Outside Insurance Business-I sometimes market non-Guardian products to clients when their financial situation demands it., Start: 01/01/2015, Address; 2500 Westchester Avenue, Purchase, NY 10577, 12 bus hrs per month, Investment related, >10% annual compensation, 2. Opus Private Client, LLC-DBA which will be used to market all products approved for sale by Guardian/PAS as FR's of the Guardian, Start: 01/16/2018, Address: 2500 Westchester Avenue, Suite 401 Purchase, NY 10577, 160 bus hrs per month, Investment related, >10% annual compensation, 3.) Power of Attorney for my Spouse - My wife and I drafted and signed Power of Attorney documents for each other. , Start date: 12/07/2019, Address: 10 Highview Avenue Old Greenwich, CT 06870 , 0 total hours per month 0 during securities trading hours, Not Investment related, No annual compensation,
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-01-12 |
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