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Account
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10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2025-01-06 |
| MN | RA | APPROVED | 2025-01-03 |
| CO | RA | APPROVED | 2024-10-08 |
| MA | RA | APPROVED | 2023-12-13 |
| SD | RA | APPROVED | 2023-10-05 |
| NC | RA | APPROVED | 2023-06-22 |
| NY | RA | APPROVED | 2022-11-04 |
| FL | RA | APPROVED | 2022-08-19 |
| OR | RA | APPROVED | 2022-07-21 |
| CA | RA | APPROVED | 2021-09-24 |
| PA | RA | APPROVED | 2020-10-13 |
| WA | RA | APPROVED | 2020-07-08 |
| MI | RA | APPROVED | 2019-10-23 |
| TX | RA | APPROVED_RES | 2019-05-01 |
| WI | RA | APPROVED | 2016-08-26 |
Branch Locations
3415 Commerce Court Suite 3, Appleton, WI 54911 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Guardian Life Insuranc Ecompany | Neenah | WI | 10/2012 | 09/2022 |
| Park Avenue Securities | Neenah | WI | 11/2012 | 09/2022 |
| Park Avenue Securities | Appleton | WI | 09/2022 | Present |
| Guardian Life Insuranc Ecompany | Appleton | WI | 09/2022 | Present |
1) Non Guardian insurance products-Outside carriers for business that can't be placed at Guardian, Start: 11/30/2012, Address: 3415 Commerce Ct., Ste. 3, Appleton, WI 54911, 2 total hours per month, 2 during securities trading hours, Investment related, Less than 10% annual compensation, 2.) Power of attorney, Start date: 12/01/2022, Address: Appleton, WI, 0 total hours per month 0 during securities trading hours, Not Investment related, No annual compensation, 3) Boehm Estates LLC-owner, Nature of Business: Residential real estate, Start date: 02/15/2026, Address: 88 Bellevue Pl Appleton, WI 54913, Duties: residential real estate rental, 5 total hours per month; 0 during securities trading hours, Investment related,
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-05-13 |
| S63 | Uniform Securities Agent State Law Examination | 2000-04-25 |
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