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Current Employers
Park Avenue Securities Llc

10 Hudson Yards, New York, NY 10001 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2024-01-03
WA RA APPROVED 2016-09-18
CA RA APPROVED 2005-10-20
  • NC RA
    APPROVED
    Since 2024-01-03
  • WA RA
    APPROVED
    Since 2016-09-18
  • CA RA
    APPROVED
    Since 2005-10-20

Branch Locations

2875 Michelle Drive Suite 110, Irvine, CA 92606 • United States

San Carlos, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Park Avenue Securities Llc New York NY 05/1999 09/2018
Guardian Life Insurance Company San Carlos CA 09/1996 09/2018
Guardian Life Insurance Company Campbell CA 09/2018 06/2024
Park Avenue Securities Campbell CA 09/2018 06/2024
Guardian Life Insurance Company San Carlos CA 06/2024 Present
Park Avenue Securities San Carlos CA 06/2024 Present
Guardian Life Insurance Company Irvine CA 06/2024 Present
Park Avenue Securities Irvine CA 06/2024 Present
  • 05/1999 → 09/2018
    New York, NY
  • 09/1996 → 09/2018
    Guardian Life Insurance Company
    San Carlos, CA
  • 09/2018 → 06/2024
    Guardian Life Insurance Company
    Campbell, CA
  • 09/2018 → 06/2024
    Park Avenue Securities
    Campbell, CA
  • 06/2024 → Present
    Guardian Life Insurance Company
    San Carlos, CA
  • 06/2024 → Present
    Park Avenue Securities
    San Carlos, CA
  • 06/2024 → Present
    Guardian Life Insurance Company
    Irvine, CA
  • 06/2024 → Present
    Park Avenue Securities
    Irvine, CA
Other Businesses

1. Sound Technician for my Church-I am a fill in sound technician for my Church, which includes setup, controlling the sound board during services and breakdown, Start: 09/17/2017, Address: Trinity Presbyterian Church, 1106 Alameda de Las Pulgas, San Carlos, CA 94070, 2 total hours per month, 0 during securities trading hours, Less than 10% annual compensation, Not investment related, 2. Outside Insurance Sales-Sale of Non Guardian Insurance Products, Start: 05/13/2020, Address: 910 East Hamilton Avenue, Suite 350 Campbell CA 95008, 5 total hours per month, 4 during securities trading hours, Less than 10% annual compensation, Investment related, 3. Umbenhaur Enterprises, LLC- My Mom set up a LLC to hold title to her home. I am the manager of the LLC., Start: 01/15/2021, Address: 2161 Greenwood Ave. San Carlos CA 94070, 2 total hours per month, 0 during securities trading hours, No annual compensation, Investment related,

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-07-15
S63 Uniform Securities Agent State Law Examination 1995-12-06
  • S65 Uniform Investment Adviser Law Examination
    2005-07-15
  • S63 Uniform Securities Agent State Law Examination
    1995-12-06
Designations
Other Names
  • David James Umbenhaur

View on SEC IAPD

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