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10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2025-07-18 |
| NJ | RA | APPROVED | 2025-01-06 |
| IN | RA | APPROVED | 2024-11-21 |
| KY | RA | APPROVED | 2024-11-21 |
| OH | RA | APPROVED | 2024-11-21 |
Branch Locations
9300 Shelbyville Road Suite 320, Louisville, KY 40222 • United States
Louisville, KY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Advance Team Partners | Louisville | KY | 08/2015 | 12/2019 |
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 01/2020 | 07/2024 |
| Northwestern Mutual Investment Services Llc | Louisville | KY | 06/2020 | 07/2024 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 11/2020 | 07/2024 |
| Guardian Life Insurance Company | Louisville | KY | 08/2024 | Present |
| Park Avenue Securities | Louisville | KY | 08/2024 | Present |
1) Insurance Other than Guardian, Start date: 09/01/2015, Address: 11911 Oak Bay Place, Louisville, KY 40245, 1 total hours per month 0 during securities trading hours, Investment related, Less than 10% annual compensation, 2) Finance Committee Member, Start Date: 1/1/2025, Address: 500 N. Watterson Trail, Louisville, KY 40243, 1 total hour per month; 0 during securities trading hours, Not investment related, No annual compensation,
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2024-11-11 |
| S63 | Uniform Securities Agent State Law Examination | 2020-10-02 |
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