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10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-08-07 |
| KS | RA | APPROVED | 2025-05-07 |
| NH | RA | APPROVED | 2025-03-31 |
| MO | RA | APPROVED | 2024-10-18 |
| AZ | RA | APPROVED | 2024-06-26 |
Branch Locations
5080 North 40Th St. Suite 400, Phoenix, AZ 85018 • United States
Mesa, AZ • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Invest Financial Corporation | Tampa | FL | 06/2016 | 01/2018 |
| Central Trust Bank | Warrensburg | MO | 06/2016 | 01/2018 |
| Equity Bank | Warrensburg | MS | 03/2018 | 12/2018 |
| Cetera Investment Advisers Llc | Warrensburg | MO | 03/2018 | 12/2018 |
| Cetera Investment Services Llc | St. Cloud | MN | 03/2018 | 12/2018 |
| Allstate Insurance Company | Raytown | MO | 01/2019 | 06/2024 |
| Guardian Life Insurance Company | Phoenix | AZ | 06/2024 | Present |
| Park Avenue Securities | Phoenix | AZ | 06/2024 | Present |
| Guardian Life Insurance Company | Mesa | AZ | 10/2024 | Present |
| Park Avenue Securities | Mesa | AZ | 10/2024 | Present |
1) Insurance other than Guardian-Independent contractor, Nature of Business: Insurance sales, Start date: 06/19/2024, Address: 1023 N Opal, Mesa AZ, 85207, Duties: Insurance other than Guardian 10 total hours per month; 10 during securities trading hours, Investment related, 2) TinkleTarget, LLC-owner, Nature of Business: children's potty training aids, Start date: 03/16/2026, Address: 1023 N Opal, Mesa AZ, 85207, Duties: sales, 50 total hours per month; 0 during securities trading hours, Not investment related,
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-11-16 |
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