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10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2026-06-16 |
| IN | RA | APPROVED | 2025-03-24 |
| AR | RA | APPROVED | 2025-02-26 |
| GA | RA | APPROVED | 2025-01-31 |
| LA | RA | APPROVED | 2025-01-31 |
| OK | RA | APPROVED | 2025-01-06 |
| NE | RA | APPROVED | 2024-08-08 |
| WI | RA | APPROVED | 2024-04-11 |
| WA | RA | APPROVED | 2024-03-12 |
| ID | RA | APPROVED | 2024-02-28 |
| NV | RA | APPROVED | 2023-08-10 |
| IL | RA | APPROVED | 2023-07-31 |
| CO | RA | APPROVED | 2023-07-26 |
| OR | RA | APPROVED | 2023-07-12 |
| DE | RA | APPROVED | 2023-06-28 |
| SC | RA | APPROVED | 2023-06-20 |
| OH | RA | APPROVED | 2023-06-12 |
| VA | RA | APPROVED | 2023-06-12 |
| DC | RA | APPROVED | 2023-05-09 |
| TX | RA | APPROVED_RES | 2023-05-09 |
| MD | RA | APPROVED | 2023-05-05 |
| AZ | RA | APPROVED | 2023-02-24 |
| MA | RA | APPROVED | 2023-02-15 |
| UT | RA | APPROVED | 2023-02-08 |
| MO | RA | APPROVED | 2023-02-03 |
| NC | RA | APPROVED | 2023-01-13 |
| WV | RA | APPROVED | 2023-01-13 |
| MI | RA | APPROVED | 2023-01-12 |
| CA | RA | APPROVED | 2023-01-11 |
| CT | RA | APPROVED | 2023-01-11 |
| FL | RA | APPROVED | 2023-01-11 |
| AK | RA | APPROVED | 2023-01-10 |
| NJ | RA | APPROVED | 2022-12-07 |
| NY | RA | APPROVED | 2022-12-07 |
| PA | RA | APPROVED | 2022-12-07 |
Branch Locations
437 Madison Avenue 29Th Floor, New York, NY 10022 • United States
Ambler, PA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Vanguard Group, Inc. | Malvern | PA | 12/2014 | 12/2016 |
| Sanford C. Bernstein & Co., Llc | Philadelphia | PA | 12/2016 | 08/2017 |
| Brinker Capital | Berwyn | PA | 09/2017 | 09/2022 |
| Orion Portfolio Solutions | Omaha | NE | 01/2022 | 09/2022 |
| Park Avenue Securities | New York | NY | 11/2022 | Present |
| Guardian Life Insurance Company | New York | NY | 11/2022 | Present |
| Guardian Life Insurance Company | Ambler | PA | 06/2024 | Present |
| Park Avenue Securities | Ambler | PA | 06/2024 | Present |
1) Sale of insurance products not offered for sale at Guardian, Start date: 05/01/2023, Address: 437 Madison Avenue, 29th Floor, NY, NY 10022, 20 total hours per month; 20 during securities trading hours, Investment related, Less than 10% annual compensation,
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-10-12 |
| S63 | Uniform Securities Agent State Law Examination | 2015-03-20 |
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