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10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MI | RA | APPROVED | 2026-02-10 |
| AL | RA | APPROVED | 2026-01-15 |
| IL | RA | APPROVED | 2026-01-15 |
| VA | RA | APPROVED | 2026-01-15 |
| IN | RA | APPROVED | 2025-11-12 |
| WI | RA | APPROVED | 2024-10-18 |
| SC | RA | APPROVED | 2024-03-14 |
| RI | RA | APPROVED | 2024-03-05 |
| MN | RA | APPROVED | 2024-01-04 |
| GA | RA | APPROVED | 2022-09-27 |
| PA | RA | APPROVED | 2021-08-12 |
| NY | RA | APPROVED | 2021-04-16 |
| NJ | RA | APPROVED | 2020-10-19 |
| FL | RA | APPROVED | 2020-03-24 |
| MD | RA | APPROVED | 2019-11-25 |
| KY | RA | APPROVED | 2019-01-18 |
| TX | RA | APPROVED_RES | 2019-01-18 |
| CA | RA | APPROVED | 2019-01-10 |
| ME | RA | APPROVED | 2018-03-15 |
| OH | RA | APPROVED | 2018-03-14 |
| NC | RA | APPROVED | 2017-02-13 |
| NH | RA | APPROVED | 2016-07-27 |
| CO | RA | APPROVED | 2011-09-14 |
| CT | RA | APPROVED | 2011-09-14 |
| MA | RA | APPROVED | 2011-09-14 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Park Avenue Securities Llc | Wakefield | MA | 02/2015 | Present |
| Guardian Life Insurance Company | Wakefield | MA | 02/2015 | Present |
1. Outside Insurance Activity-I sell Insurance outside of Guardian, Start: 08/01/2011, Address: 2 Central Street, Middleton, MA 01949, 1 bus hr per month, Investment related, 2. Leavitt St LLC-50% owner with my wife Linda. LLC is for a 2 family residential investment property, Start: 06/01/2017, Address: 19-21 Leavitt St, Salem, MA 01970, 2 bus hrs per month, Investment related, 3. TrueView Financial-DBA for investment and insurance business, Start: 01/01/2018, Address: 2 Central Street, Middleton, MA 01949, 40 bus hrs per month, Investment related, 4. Penn Mutual Brokerage-Life Insurance Agent, Start: 11/01/2019, Address: 2 Central Street, Middleton, MA 01949, 3 bus hrs per month, Investment related, 5) Jim DesRocher Speaking engagements-speak and give presentations on stage to groups, Start: 10/31/2022, Address: 15 Liberty St. Middleton, MA 01949, 2 total hours per month; 2 during securities trading hours, Not investment related, Less than 10% annual compensation, 6) 259 S. Main St, LLC-Commercial Real Estate Investment Property, Start: 07/27/2022, Address: 259 S. Main St, Middleton, MA 01949, 4 total hours per month; 4 during securities trading hours, Investment related, More than 10% annual compensation, 7) Executor for my wife's trust, Start: 10/11/2022, Address: 15 Liberty St. Middleton, MA 01949, 0 total hours per month, Not investment related, No annual compensation, 8) Perfect Marketing Plan-independent contractor, Nature of Business: Coaching/Consulting for marketing to business planning, Start date: 10/01/2025, Address: 15 Liberty St, Middleton, MA 01949, Duties: provide insights and coaching, 2 total hours per month; 2 during securities trading hours, Not investment related,
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-07-25 |
| S63 | Uniform Securities Agent State Law Examination | 2007-10-30 |
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