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10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2004-04-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Park Avenue Securities Llc | Charlotte | NC | 04/2013 | 11/2016 |
| The Guardian Life Insurance Company | Cornelius | NC | 07/1995 | Present |
| Park Avenue Securities | Cornelius | NC | 11/2016 | Present |
| Guardian Life Insurance | Huntersville | NC | 07/2013 | 12/2017 |
| Park Avenue Securities | Huntersville | NC | 07/2013 | 12/2017 |
1. LAPIS FINANCIAL STRATEGIES, LLC Sales of P & C, insurance and when appropriate annuities, health, ltc, disability and life insurance other than Guardian products Start: 01/23/2015 Address: 20212 Zion Avenue Cornelius, NC 28078 Hrs per month - Tot/Bus: 15/12 Investment related >10% annual compensation 2. Property ownership Purchased commercial real estate to conduct business in. Lease out the upstairs to a commercial tenant Start: 01/01/2003 Address: 20212 Zion Ave Cornelius, NC 28031 Hrs per month - Tot/Bus: 5/1 Investment related >10% annual compensation 3. Other Insurance Broker for Legal Shield for individuals and group plans Start: 03/01/2019 Address: 20212 Zion Ave Cornelius, NC 28031 2 bus hours per month Not investment related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-09 |
| S63 | Uniform Securities Agent State Law Examination | 1995-11-03 |
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