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10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2026-07-17 |
| MD | RA | APPROVED | 2025-08-07 |
| WI | RA | APPROVED | 2025-07-09 |
| CO | RA | APPROVED | 2025-06-18 |
| KY | RA | APPROVED | 2024-10-22 |
| NV | RA | APPROVED | 2024-05-16 |
| AL | RA | APPROVED | 2023-09-22 |
| ME | RA | APPROVED | 2023-02-27 |
| DC | RA | APPROVED | 2022-06-06 |
| PA | RA | APPROVED | 2021-11-22 |
| NJ | RA | APPROVED | 2021-05-04 |
| NY | RA | APPROVED | 2021-04-16 |
| TX | RA | APPROVED | 2020-10-21 |
| MA | RA | APPROVED | 2020-09-22 |
| FL | RA | APPROVED | 2020-09-16 |
| CA | RA | APPROVED | 2020-09-15 |
| NH | RA | APPROVED | 2020-09-15 |
| VA | RA | APPROVED | 2020-09-15 |
| WA | RA | APPROVED | 2020-09-15 |
| CT | RA | APPROVED | 2020-08-31 |
Branch Locations
800 Westchester Avenue 4Th Floor Suite N409, Rye Brook, NY 10573 • United States
Branford, CT • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Securities, Llc | Hong Kong | 01/2010 | 08/2019 | |
| Guardian Life Insurance Company Of America | Rye Brook | NY | 03/2020 | Present |
| Unemployed | Branford | CT | 08/2019 | 03/2020 |
| Park Avenue Securities | Rye Brook | NY | 06/2020 | Present |
| Guardian Life Insurance Company | Branford | CT | 06/2024 | Present |
| Park Avenue Securities | Branford | CT | 06/2024 | Present |
1) TINA BELLE LLC- rental property, START DATE: 12/01/2014, ADDRESS: 2 FRANCIS STREET BROOKLINE, MA 02445, O HOURS PER MONTH/O HOURS DURING NORMAL BUSINESS HOURS , INVESTMENT RELATED, No compensation, 2) 9254 Wallngford Ave North, Start date: 11/13/2012, Address: 9254 Wallingford Ave N, Seattle, WA 98103, 0 hours per month, Investment related, No annual compensation, 3) Trustee-The Norma L. Banson Living Trust, Start date: 02/01/2022, Address: N/A, .25 total hours per month; 0 during securities trading hours, Not investment related, No annual compensation, 4) Rental property at 56 Gaviota Way SF, Start date: 08/14/2024, Address: 56 Gaviota Way San Francisco, CA 94127, 0 total hours per month; Investment related, No annual compensation, 5) Insurance other than Guardian-Independent contractor, Start date: 10/10/2024, Address: 437 Madison Avenue, 29th Floor, New York, NY 10022, Duties: Insurance other than Guardian 2 total hours per month; 2 during securities trading hours, Investment related, Less than 10% annual compensation,
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-08-11 |
| S63 | Uniform Securities Agent State Law Examination | 2000-02-28 |
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