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10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2026-07-07 |
| NH | RA | APPROVED | 2024-01-25 |
| VT | RA | APPROVED | 2024-01-03 |
| NY | RA | APPROVED | 2021-04-16 |
| LA | RA | APPROVED | 2020-10-15 |
| OR | RA | APPROVED | 2020-01-24 |
| NJ | RA | APPROVED | 2019-11-29 |
| CO | RA | APPROVED | 2019-11-27 |
| MA | RA | APPROVED | 2018-12-11 |
| SC | RA | APPROVED | 2018-10-29 |
| NC | RA | APPROVED | 2018-10-01 |
| CT | RA | APPROVED | 2018-09-19 |
| FL | RA | APPROVED | 2018-09-07 |
| CA | RA | APPROVED | 2018-09-06 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Park Avenue Securities Llc | New York | NY | 05/1999 | Present |
| Guardian Life Insurance Of America | New York | NY | 08/1997 | Present |
1. Insurance business outside of Guardian-Insurance through brokerage non innovative underwriters Start: 04/08/2016 Address: 197 Scott Swamp Rd Farmington CT 06032 1 bus hr per month Investment related 2. Main street Wealth Strategies LLC-LLC I have registered to do my business under rather than MW Financial Group Ltd. I have not actually done business under that name but will at some point in the future Start: 10/01/2013 Address: 197 Scott Swamp Rd Farmington CT 06032 0 hrs per month Investment related 3)Physicians Wealth Strategies LLC- DBA for my Guardian and Park avenue business Start: 07/23/2013 Address: 197 Scott Swamp Rd Farmington CT 06032 17 total hours per month 10 during securities trading hours Not Investment related No compensation 4) Barter Business unlimited-sales, Nature of Business: barter system where trade goods and services for barter credits, Start date: 09/01/2026, Address: 105 Laurel St. Bristol, CT 06010, Duties: Sales, offering Concert tickets, 3 total hours per month; 2 during securities trading hours, Not investment related,
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1996-01-26 |
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