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10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| GA | RA | APPROVED | 2025-06-26 |
| MO | RA | APPROVED | 2020-08-04 |
| NC | RA | APPROVED | 2020-01-10 |
| AL | RA | APPROVED | 2018-11-08 |
| CA | RA | APPROVED | 2018-07-11 |
| AR | RA | APPROVED | 2017-06-19 |
| TX | RA | APPROVED | 2006-12-04 |
Branch Locations
3040 Post Oak Blvd Suite 1150, Houston, TX 77056 • United States
Katy, TX • United States
1 disclosure category 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 |
|---|---|---|---|---|
| The Guardian Life | New York | NY | 01/2000 | Present |
| Cornerstone Financial Group | New York | NY | 01/2000 | Present |
| Park Avenue Securities | New York | NY | 01/2000 | Present |
| Guardian Life Insurance Company | Katy | TX | 06/2024 | Present |
| Park Avenue Securities | Katy | TX | 06/2024 | Present |
1. INSURANCE - LIFE, DI, HEALTH, LTC, I may sell products to my clients other than Guardian. Start: 01/01/2000, Address: 3040 Post Oak Blvd #400 Houston, TX 77056, 60 total hours per month, 60 during securities trading hours, Greater than 10% annual compensation, Investment related, 2. Trustee for Daughter's Trust, I am the co-trustee along with my wife for a trust established for my daughter, Start: 06/07/1990, Address: 24111 Enchanted Crossing, Katy, Texas 77494, 0 hours per month, No annual compensation, Not investment related, 3. Co-Executor of the Will and Estate of my Mother, Start: 04/15/2024, Address: 24111 Enchanted Crossing, Katy TX 77494, 10 total hours per month, 2 during securities trading hours, No annual compensation, Not investment related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-10-30 |
| S63 | Uniform Securities Agent State Law Examination | 1993-12-17 |
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