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10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| DE | RA | APPROVED | 2025-07-11 |
| NC | RA | APPROVED | 2025-05-05 |
| SC | RA | APPROVED | 2025-05-05 |
| CT | RA | APPROVED | 2023-11-13 |
| MA | RA | APPROVED | 2020-01-15 |
| PA | RA | APPROVED | 2018-03-30 |
| DC | RA | APPROVED | 2007-05-29 |
| MD | RA | APPROVED | 2006-01-09 |
| VA | RA | APPROVED | 2006-01-09 |
Branch Locations
11600 Sunrise Valley Drive Suite 100, Reston, VA 20191 • United States
Potomac, MD • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Guardian Life Insurance Co Of America | Bethesda | MD | 10/2010 | 02/2022 |
| Park Avenue Securities Llc | Bethesda | MD | 10/2010 | 02/2022 |
| Guardian Life Insurance Company | Chevy Chase | MD | 02/2022 | 06/2022 |
| Park Avenue Securities | Chevy Chase | MD | 02/2022 | 06/2022 |
| Guardian Life Insurance Company | Reston | VA | 06/2022 | 06/2022 |
| Park Avenue Securities | Reston | VA | 06/2022 | 06/2022 |
| Guardian Life Insurance Company | Chevy Chase | MD | 06/2022 | 01/2023 |
| Park Avenue Securities | Chevy Chase | MD | 06/2022 | 01/2023 |
| Guardian Life Insurance | Reston | VA | 01/2023 | Present |
| Park Avenue Securities | Reston | VA | 01/2023 | Present |
| Guardian Life Insurance Company | Chevy Chase | MD | 02/2023 | 10/2023 |
| Park Avenue Securities | Chevy Chase | MD | 02/2023 | 10/2023 |
| Guardian Life Insurance Company | Potomac | MD | 06/2024 | Present |
| Park Avenue Securities | Potomac | MD | 06/2024 | Present |
1. Non-Guardian Insurance Products-I offer long term care, health products, insurance products, and annuities not from Guardian or PAS when required to meet clients requirements., Start: 12/01/2008, Address: 7101 Wisconsin Ave., Suite 1200 Bethesda, MD 20814, 5 bus hrs per month, Investment related, 2. Cato Advisory, LLC-Created this single member LLC to support a previously approved OBA, Dental Transition Consulting, Start: 03/12/2013, Address: 8617 Hidden Hill Lane, Potomac, MD 20854, 3 non bus hrs per month, Not investment related, 3. The ARC-Finance & Board member, Start: 07/01/2021, Address: 7362 Calhoun Place Rockville, MD 20855, 1.5 total hours per month; 0 during securities trading hours Not investment related, No compensation, 4. Phillip C. Cato & Sarah M. Cato, Joint Revocable Trust dtd 9/29/2015, Start: 9/29/2015, Address: 8617 Hidden Hill Lane Potomac, Maryland 20854, 0 total hours per month, Not investment related, No Annual compensation,
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-11-16 |
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