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10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2025-01-01 |
| FL | RA | APPROVED | 2025-01-01 |
| SC | RA | APPROVED | 2025-01-01 |
| NY | RA | APPROVED | 2023-07-07 |
| MA | RA | APPROVED | 2022-03-01 |
| UT | RA | APPROVED | 2021-12-09 |
| IN | RA | APPROVED | 2021-01-28 |
| TX | RA | APPROVED_RES | 2017-10-10 |
| GA | RA | APPROVED | 2012-02-27 |
| NJ | RA | APPROVED | 2012-02-24 |
| NC | RA | APPROVED | 2012-02-24 |
Branch Locations
6115 Park South Drive Suite 200, Charlotte, NC 28210 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Park Ave Securities | Charlotte | NC | 02/2012 | Present |
| Guardian Life Ins Co | Charlotte | NC | 07/2001 | Present |
1. Thompson Planning Group Insurance outside Guardian Sales of traditional insurance products Start: 08/01/1991 Address: 4201 Congress Street Suite 295 Charlotte NC 28209 Hrs per month - tot/bus: 20/10 Investment related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-03-01 |
| S63 | Uniform Securities Agent State Law Examination | 1993-01-25 |
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