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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2023-06-29 |
| TX | RA | APPROVED | 2023-06-29 |
Branch Locations
555 Long Wharf Drive 11Th Floor, New Haven, CT 06511 • United States
Wallingford, CT • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Park Avenue Securities | Madison | CT | 08/2013 | 09/2017 |
| Guardian Life Ins Co Of America | Madison | CT | 06/2013 | 09/2017 |
| Guardian Life Insurance | Hamden | CT | 09/2017 | 11/2019 |
| Park Avenue Securities | Hamden | CT | 09/2017 | 11/2019 |
| Guardian Life Insurance Company | New Haven | CT | 11/2019 | 02/2023 |
| Park Avenue Securities | New Haven | CT | 11/2019 | 02/2023 |
| Cetera Wealth Services, Llc | El Segundo | CA | 02/2023 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 10/2014; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY, ANNUITIES AND LONG-TERM CARE; 2. NAME OF OTHER BUSINESS: WOOSTER SQUARE ADVISORS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 02/2023; POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 45; APX NUMBER OF HOURS DURING TRADING HOURS: 45; BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES, HELP CLIENTS WITH THEIR GOALS AND OBJECTIVES.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-03-15 |
| S63 | Uniform Securities Agent State Law Examination | 1998-10-16 |
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