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10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2026-05-01 |
| NC | RA | APPROVED | 2026-03-26 |
| SC | RA | APPROVED | 2026-03-26 |
| GA | RA | APPROVED | 2026-01-09 |
| AL | RA | APPROVED | 2026-01-08 |
| KY | RA | APPROVED | 2025-12-22 |
Branch Locations
9300 Shelbyville Road Suite 320, Louisville, KY 40222 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Compass Financial Advisory Services, Llc | Ormond Beach | FL | 05/2025 | 09/2025 |
| Publix Supermarkets, Inc | Lakeland | FL | 02/1995 | 11/2024 |
| Retired | Louisville | KY | 11/2024 | 05/2025 |
| Park Avenue Securities | Louisville | KY | 10/2025 | Present |
| Guardian Life Insurance Company | Louisville | KY | 10/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2025-12-18 |
| S65 | Uniform Investment Adviser Law Examination | 2025-05-06 |
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