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10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-04-16 |
| CA | RA | APPROVED | 2020-01-28 |
| WI | RA | APPROVED | 2019-10-02 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Massachusetts Mutual Life Insurance Company | Amherst | NY | 12/2014 | 11/2016 |
| Mml Investors Services Llc | Amherst | NY | 09/2015 | 11/2016 |
| Guardian Life Ins | Buffalo | NY | 12/2016 | Present |
| Park Avenue Securities | Buffalo | NY | 12/2016 | Present |
1. Secondary Trustee-Secondary Trustee for family member, Start: 01/01/2012, Address: 243 Dearborn Street Buffalo, NY 14207, 0 hrs per month, Not investment related, 2) Vectorr Industries LLC, President and CEO, Start: 11/18/2020, Address: 3285 Woodlawn Ave Buffalo, NY 14219, 10 total hours per month, 0 during securities trading hours, Not investment related, No annual compensation, 3) Buffalo Niagara River Land Trust- Board Member, Start: 01/01/2024, Address: 52 Amherst Street Buffalo, NY 14207, 5 total hours per month; 2 during securities trading hours, Not investment related, No annual compensation, 4) Wincrest Sportsman's Association- Board Member, Start: 06/01/2024, Address: 184 Rhode Island St, Buffalo, NY 14213, 1 total hours per month; 0 during securities trading hours, Not investment related, No annual compensation, 5) Insurance outside Guardian-place insurance business outside of Guardian, Start: 11/01/2024, Address: 600 Delaware Ave Buffalo NY 14202 , 5 total hours per month; 5 during securities trading hours, Investment related, More than 10% annual compensation, 6) Dwight Moldenhauer Inc-C corp,100% owner of that we use as a Guardian DBA, Start: 01/01/2023, Address: 600 Delaware Ave Buffalo NY 14202 , 160 total hours per month; 160 during securities trading hours, Investment related, More than 10% annual compensation,
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-10-20 |
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