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10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2025-06-17 |
| PA | RA | APPROVED | 2025-04-29 |
| WA | RA | APPROVED | 2024-11-18 |
| NV | RA | APPROVED | 2024-08-15 |
| NM | RA | APPROVED | 2024-08-15 |
| AK | RA | APPROVED | 2024-08-01 |
| CA | RA | APPROVED | 2024-08-01 |
| CO | RA | APPROVED | 2024-08-01 |
| HI | RA | APPROVED | 2024-08-01 |
| OH | RA | APPROVED | 2024-08-01 |
| TX | RA | APPROVED | 2024-08-01 |
Branch Locations
500 Ala Moana Blvd Suite 3-400, Honolulu, HI 96813 • United States
1600 Kapiolani Blvd Suite 918, Honolulu, HI 96814 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Guardian Life Insurance Company Of America | Honolulu | HI | 09/2007 | 07/2018 |
| Park Avenue Securities | Honolulu | HI | 10/2007 | 07/2018 |
| Cambridge Investment Research Advisors, Inc. | Fairfield | IA | 07/2018 | 07/2024 |
| Cambridge Investment Research, Inc. | Fairfield | IA | 07/2018 | 07/2024 |
| Guardian Life Insurance | Honolulu | HI | 08/2024 | Present |
| Park Avenue Securities | Honolulu | HI | 08/2024 | Present |
1) Rental property- rent out condo Start date: 07/01/2011, Address: 7018 Hawaii kai drive 111 Honolulu, Hi 96825, 1 total hour per month; 0 during securities trading hours, Investment related, Less than 10% annual compensation, 2) Medical Plans Hawaii-Medicare business that offers ( Medicare advantage plans, and Medicare supplement plans for seniors, Start date: 08/01/2024, Address: 1600 Kapiolani Blvd. suite 926, Honolulu Hawaii, 8 total hour per month; 2 during securities trading hours, Investment related, More than 10% annual compensation, 3) Insurance other than Guardian-Independent contractor, Nature of Business: ash brokerage, Start date: 10/01/2025, Address: 1600 kapiolani bld suite 918, Duties: Insurance other than Guardian 1 total hours per month; 1 during securities trading hours, Investment related, 4) KTMJAT LLC-owner, Nature of Business: rental property, Start date: 11/01/2025, Address: 3319 West 97th Street, Cleveland 1164 pondview Ave, Akron, Duties: owner, 1 total hours per month; 1 during securities trading hours, Investment related,
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-02-15 |
| S63 | Uniform Securities Agent State Law Examination | 2006-11-06 |
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