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10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-05-28 |
| CT | RA | APPROVED | 2024-03-12 |
Branch Locations
197 Scott Swamp Rd., Farmington, CT 06032 • United States
Milford, CT • United States
2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lps Partners Inc | New York | NY | 04/2015 | 06/2017 |
| Samuel A. Ramirez & Co., Inc. | New York | NY | 06/2017 | 02/2023 |
| Sentinel Asset Management, Llc | Wallingford, | CT | 03/2023 | 12/2023 |
| Guardian Life Insurance Company | Farmington | CT | 01/2024 | Present |
| Park Avenue Sercurities | Farmington | CT | 01/2024 | Present |
| Guardian Life Insurance Company | Milford | CT | 06/2024 | Present |
| Park Avenue Sercurities | Milford | CT | 06/2024 | Present |
1) Curtain Transportation, Special Needs Student Transportation, Start date 1/22/24, Address: 400 Long Beach Boulevard, Stratford, Ct. 06615, 55 total hours per month; 25 during securities trading hours, Not Investment Related, Less than 10% annual compensation,
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2025-04-18 |
| S65 | Uniform Investment Adviser Law Examination | 2023-02-22 |
| S66 | Uniform Combined State Law Examination | 2013-11-18 |
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