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10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NH | RA | APPROVED | 2026-07-15 |
| MS | RA | APPROVED | 2023-03-01 |
| MN | RA | APPROVED | 2022-10-03 |
| NV | RA | APPROVED | 2022-07-12 |
| KS | RA | APPROVED | 2021-05-04 |
| NY | RA | APPROVED | 2021-04-16 |
| WA | RA | APPROVED | 2021-01-05 |
| MA | RA | APPROVED | 2020-11-17 |
| GA | RA | APPROVED | 2020-10-21 |
| MD | RA | APPROVED | 2020-05-08 |
| KY | RA | APPROVED | 2020-04-06 |
| CO | RA | APPROVED | 2020-03-02 |
| UT | RA | APPROVED | 2019-11-15 |
| PA | RA | APPROVED | 2019-04-30 |
| TX | RA | APPROVED_RES | 2018-08-08 |
| MT | RA | APPROVED | 2017-06-30 |
| AZ | RA | APPROVED | 2017-06-22 |
| OH | RA | APPROVED | 2016-07-26 |
| IL | RA | APPROVED | 2016-01-19 |
| RI | RA | APPROVED | 2015-10-07 |
| SC | RA | APPROVED | 2015-04-15 |
| NC | RA | APPROVED | 2014-02-11 |
| DC | RA | APPROVED | 2012-03-29 |
| FL | RA | APPROVED | 2012-03-14 |
| CA | RA | APPROVED | 2012-03-13 |
| CT | RA | APPROVED | 2012-03-13 |
| NJ | RA | APPROVED | 2012-03-13 |
| VA | RA | APPROVED | 2012-03-13 |
Branch Locations
800 Westchester Avenue 4Th Floor Suite N409, Rye Brook, NY 10573 • United States
437 Madison Avenue 29Th Floor, New York, NY 10022 • United States
468 Post Road East Suite C, Westport, CT 06880 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Guardian Life Insurance Co Of America | Rye Brook | NY | 10/2006 | Present |
| Park Avenue Securities | Rye Brook | NY | 10/2006 | Present |
| Guardian Life Insurance Co Of America | New York | NY | 04/2018 | Present |
| Park Avenue Securities | New York | NY | 04/2018 | Present |
| Guardian Life Insurance | Westport | CT | 09/2021 | Present |
| Park Avenue Securities | Westport | CT | 09/2021 | Present |
1) Insurance Products- occasionally solicit and sell non-Guardian insurance products through various brokerage channels, Start: 03/01/2005, Address: 800 Westchester Ave, Suite N409, Rye Brook, NY 10573, 5 total hours per month; 5 during securities trading hours, Investment related, Less than 10% annual compensation, 2) P9 Holdings, LLC- Rental Property-established this LLC with the intention of buying a commercial property in Connecticut,. Start: 07/08/2020, Address: 325 Romanock Rd, Fairfield, CT 06825, 10 total hours per month; 0 during securities trading hours, Investment related, Less than 10% annual compensation, 3) Three Elles, LLC-The LLC was created to purchase an ownership interest in Strategies for Wealth, Start: 05/03/2022, Address: 325 Romanock Rd, Fairfield, CT 06825, 180 total hours per month; 180 during securities trading hours, Not investment related, More than 10% annual compensation, 4) Silver Lining P&C Alliance-SFW Associates refer P&C clients to Silver Lining for P&C Insurance, Start: 10/03/2022, Address: 437 Madison Ave, 29th Floor, New York, NY 10022, 0 total hours per month; Investment related, Less than 10% annual compensation, 5) Ascela Benefits-Group Benefits Broker, Start: 10/03/2022, Address: 437 Madison Ave, 29th Floor, New York, NY 10022, 1 total hour per month; 1 during securities trading hours, Investment related, Less than 10% annual compensation, 6) P9 Holdings South, LLC-owner, Nature of Business-short term rental property, Start: 04/23/2024, Address: 24 Cartgate Drive, Hilton Head, SC 29928, Duties- rental property, 1 total hour per month; 1 during securities trading hours, Investment related, 7) Strat Partners Succession LLC-created for the purpose of a buy/sell agreement, Start: 06/16/2024, Address: 800 Westchester Ave Suite N409 Rye Brook, NY 10573. 0 total hours per month; Investment related, No annual compensation,
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-03-08 |
| S63 | Uniform Securities Agent State Law Examination | 2006-05-25 |
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