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10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2022-04-05 |
| MN | RA | APPROVED | 2022-01-26 |
| NY | RA | APPROVED | 2021-04-16 |
| LA | RA | APPROVED | 2019-06-18 |
| DE | RA | APPROVED | 2018-10-30 |
| NM | RA | APPROVED | 2018-03-21 |
| NC | RA | APPROVED | 2015-06-18 |
| PA | RA | APPROVED | 2015-06-02 |
| FL | RA | APPROVED | 2015-05-13 |
| IL | RA | APPROVED | 2015-04-28 |
| GA | RA | APPROVED | 2015-04-01 |
| MA | RA | APPROVED | 2014-07-15 |
| MS | RA | APPROVED | 2014-05-27 |
| CO | RA | APPROVED | 2013-02-19 |
| TX | RA | APPROVED | 2012-02-09 |
| CA | RA | APPROVED | 2010-01-20 |
| CT | RA | APPROVED | 2008-07-10 |
| NJ | RA | APPROVED | 2008-07-02 |
| DC | RA | APPROVED | 2005-11-23 |
| MD | RA | APPROVED | 2005-11-17 |
| VA | RA | APPROVED | 2005-11-17 |
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
White Plains, NY • 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 | 10/2008 | Present |
| Park Avenue Securities Llc | Rye Brook | NY | 10/2008 | 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 Company | White Plains | NY | 06/2024 | Present |
| Park Avenue Securities | White Plains | NY | 06/2024 | Present |
1. Financial Book Marketing-This activity may include issuing press releases and other written materials aimed at causing various media outlets to publicize my book; appearing on radio and TV programs; being interviewed for articles in the media, Start: 07/01/2011, Address; N/A, 5 bus hrs per month, Not investment related, 2. Financial book publishing-The published book primarily will be given to prospects/clients as a prospecting tool. It will, however, also be available commercially through various sites (e.g., the publisher's website, Amazon.com, etc.) to purchase,. Start: 05/01/2011, Address: 800 Westchester Avenue Suite N409 Rye Brook, NY 10573, 1 bus hr per month, Not investment related, 3. Product Brokerage-Act as a broker in states where properly licensed on behalf of clients seeking to obtain products from a variety of issuers, including products providing for long-term care, long-term disability insurance, deferred and immediate annuities and universal and term life insurance,. Start: 02/02/2014, Address: 800 Westchester Avenue Suite N409 Rye Brook, NY 10573, 5 bus hrs per month, Investment related, 4. OBS Financial Service Advisory Board Membership-I serve as a volunteer Advisory Board member for OBS Financial Services, Inc. In this capacity I provide feedback/input on existing products, processes and on new initiatives. Start: 01/01/2015, Address: 10200 Waterville Street Whitehouse, OH 43571, 1 bus hr per month, Not investment related,
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2005-11-03 |
| S65 | Uniform Investment Adviser Law Examination | 2005-11-03 |
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