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10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| DC | RA | APPROVED | 2021-09-16 |
| WV | RA | APPROVED | 2021-07-22 |
| AZ | RA | APPROVED | 2021-07-20 |
| NV | RA | APPROVED | 2021-07-16 |
| MA | RA | APPROVED | 2021-07-13 |
| NM | RA | APPROVED | 2021-07-12 |
| ND | RA | APPROVED | 2021-07-12 |
| NE | RA | APPROVED | 2021-07-09 |
| SD | RA | APPROVED | 2021-07-09 |
| FL | RA | APPROVED | 2021-07-08 |
| GA | RA | APPROVED | 2021-07-08 |
| AL | RA | APPROVED | 2021-07-07 |
| AK | RA | APPROVED | 2021-07-07 |
| AR | RA | APPROVED | 2021-07-07 |
| CA | RA | APPROVED | 2021-07-07 |
| CO | RA | APPROVED | 2021-07-07 |
| CT | RA | APPROVED | 2021-07-07 |
| DE | RA | APPROVED | 2021-07-07 |
| HI | RA | APPROVED | 2021-07-07 |
| ID | RA | APPROVED | 2021-07-07 |
| IL | RA | APPROVED | 2021-07-07 |
| IN | RA | APPROVED | 2021-07-07 |
| IA | RA | APPROVED | 2021-07-07 |
| KS | RA | APPROVED | 2021-07-07 |
| KY | RA | APPROVED | 2021-07-07 |
| LA | RA | APPROVED | 2021-07-07 |
| ME | RA | APPROVED | 2021-07-07 |
| MD | RA | APPROVED | 2021-07-07 |
| MI | RA | APPROVED | 2021-07-07 |
| MN | RA | APPROVED | 2021-07-07 |
| MS | RA | APPROVED | 2021-07-07 |
| MO | RA | APPROVED | 2021-07-07 |
| MT | RA | APPROVED | 2021-07-07 |
| NH | RA | APPROVED | 2021-07-07 |
| NJ | RA | APPROVED | 2021-07-07 |
| NY | RA | APPROVED | 2021-07-07 |
| NC | RA | APPROVED | 2021-07-07 |
| OH | RA | APPROVED | 2021-07-07 |
| OK | RA | APPROVED | 2021-07-07 |
| OR | RA | APPROVED | 2021-07-07 |
| PA | RA | APPROVED | 2021-07-07 |
| RI | RA | APPROVED | 2021-07-07 |
| SC | RA | APPROVED | 2021-07-07 |
| TX | RA | APPROVED | 2021-07-07 |
| UT | RA | APPROVED | 2021-07-07 |
| VT | RA | APPROVED | 2021-07-07 |
| VA | RA | APPROVED | 2021-07-07 |
| WA | RA | APPROVED | 2021-07-07 |
| WI | RA | APPROVED | 2021-07-07 |
| WY | RA | APPROVED | 2021-07-07 |
Branch Locations
10 Hudson Yards, New York, NY 10001 • United States
Watertown, SD • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Tiaa-Advice And Planning Services | Bloomington | MN | 08/2014 | 03/2018 |
| Tiaa-Cref Individual & Institutional Services, Llc | Bloomington | MN | 08/2014 | 03/2018 |
| Gradient Investments, Llc | Arden Hills | MN | 03/2018 | 08/2019 |
| Guardain Life Insurance Co Of America | New York | NY | 06/2021 | Present |
| Unemployment | Watertown | SD | 03/2021 | 05/2021 |
| Guardain Life Insurance Company | Watertown | SD | 06/2024 | Present |
| Park Avenue Securities | Watertown | SD | 06/2024 | Present |
| Transamerica Life Insurance Company | St. Paul | MN | 08/2019 | 02/2021 |
| Transamerica Investors Securities Corporation | St. Paul | MN | 08/2019 | 02/2021 |
| Park Avenue Securities, Llc | New York | NY | 06/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-09-27 |
| S63 | Uniform Securities Agent State Law Examination | 2005-03-03 |
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