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10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| LA | RA | APPROVED | 2026-08-12 |
| NC | RA | APPROVED | 2025-09-30 |
| WA | RA | APPROVED | 2025-07-17 |
| OR | RA | APPROVED | 2025-05-19 |
| IL | RA | APPROVED | 2025-04-18 |
| PA | RA | APPROVED | 2024-06-25 |
| MN | RA | APPROVED | 2024-01-23 |
| IN | RA | APPROVED | 2023-11-21 |
| CA | RA | APPROVED | 2023-09-15 |
| CO | RA | APPROVED | 2016-06-24 |
| TX | RA | APPROVED | 2015-08-25 |
Branch Locations
9442 Capital Of Tx Hwy N Suite 680, Austin, TX 78759 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Guardian Life Ins | Austin | TX | 06/2015 | Present |
| Park Avenue Securities | Austin | TX | 08/2015 | Present |
1. Business with carriers other than Guardian-contracts with multiple, outside carriers other than Guardian Life Insurance, Start: 06/01/2015, Address: 9442 North Capital of Texas Hwy Building 1, Suite 680, Austin TX, 78759, 5 total hours per month; 5 during securities trading hours, Investment related, Less than 10% annual compensation, 2. Treasurer - Board of Directors St. Dominic Savio Catholic High School, Start: 09/01/2016, Address: 9300 Neenah Ave, Austin, TX 78717, 3 non bus hrs per month, Not investment related, 3. Forum Financial Group DBA-DBA for my Financial planning/insurance/investment business,. Start: 08/01/2019, Address: 9442 North Capital Of Texas Highway Building 1, Suite 680 Austin, TX 78759, 160 total hours per month; 160 during securities trading hours, Investment related, More than 10% annual compensation, 4) Executor of the Estate of Michael DiTeresa, Start: 06/06/2020, Address: 2601 Armatrading Dr Cedar Park, TX 78613, 5 total hours per month, 0 during securities trading hours, Not Investment related, No annual compensation, 5) Forum Financial Group, LLC-This is an LLC that separates professional income from other household income, Start: 12/20/2022, Address: 105 Blue Heron Lane Georgetown, TX 78628, 4 total hours per month, 0 during securities trading hours, Not Investment related, No annual compensation, 6) Riposo Ranch, LLC-Holding company for my family ranch, Start: 12/20/2022, Address: 105 Blue Heron Lane Georgetown, TX 78628, 4 total hours per month, 0 during securities trading hours, Not Investment related, No annual compensation, 7) 3MA Holdings, LP-Holding company for my two LLCs, Start: 12/20/2022, Address: 105 Blue Heron Lane Georgetown, TX 78628, 4 total hours per month, 0 during securities trading hours, Not Investment related, No annual compensation, 8) Loch 4 Management, Inc-Management Company for my separate entities, Start: 12/20/2022, Address: 105 Blue Heron Lane Georgetown, TX 78628, 4 total hours per month, 0 during securities trading hours, Not Investment related, No annual compensation, 9) Board of Directors-St. Louis King of France, Start: 12/15/2022, Address: 7601 Burnet Rd. Austin, TX 78757, 1 total hours per month, 0 during securities trading hours, Not Investment related, No annual compensation,
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-12-12 |
| S63 | Uniform Securities Agent State Law Examination | 2004-11-23 |
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