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10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| GA | RA | APPROVED | 2025-08-27 |
| SC | RA | APPROVED | 2024-06-06 |
| NJ | RA | APPROVED | 2024-05-28 |
| NC | RA | APPROVED | 2024-05-24 |
Branch Locations
6115 Park South Drive Suite 200, Charlotte, NC 28210 • United States
Indian Trail, NC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Financial Specialists Llc | Schaumburg | IL | 10/2005 | 05/2020 |
| Guardian Life Insurance Company | Wall | NJ | 05/2020 | 07/2020 |
| Park Avenue Securities | Wall | NJ | 05/2020 | 07/2020 |
| Guardian Life Insurance Company | Maywood | NJ | 07/2020 | 09/2022 |
| Park Avenue Securities | Maywood | NJ | 07/2020 | 09/2022 |
| Guardian Life Insurance Company | Charlotte | NC | 09/2022 | Present |
| Park Avenue Securities | Charlotte | NC | 09/2022 | Present |
| Guardian Life Insurance Company | Indian Trail | NC | 06/2024 | Present |
| Guardian Life Insurance Company | Indian Trail | NC | 06/2024 | Present |
1) Doxa Retirement Services, LLC-Tax Filing purposes, Start Date: 1/7/2024, Address: 4011 Guardian Angel Avenue Indian Trail, NC 28079, 3 total hours per month; 0 during securities trading hours, Not Investment Related, No Annual Compensation,
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2024-02-26 |
| S63 | Uniform Securities Agent State Law Examination | 2002-08-28 |
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