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10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2025-06-24 |
| TX | RA | APPROVED_RES | 2023-09-19 |
| MT | RA | APPROVED | 2021-12-23 |
| AZ | RA | APPROVED | 2021-09-09 |
| CA | RA | APPROVED | 2020-10-27 |
Branch Locations
5405 Morehouse Drive Suite 245, San Diego, CA 92121 • United States
Marion, MT • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Kimberly James | Fountain Valley | CA | 07/2012 | 01/2019 |
| Lincoln Financial Securities | Fountain Valley | CA | 01/2019 | 12/2019 |
| Lincoln Financial Securities | San Diego | CA | 12/2019 | 12/2019 |
| Guardian Life Insurance Company | San Diego | CA | 12/2019 | 09/2022 |
| Park Avenue Securitiies | San Diego | CA | 12/2019 | 09/2022 |
| Guardian Life Insurance | Anaheim | CA | 09/2020 | 08/2023 |
| Park Avenue Securities | Anaheim | CA | 09/2020 | 08/2023 |
| Guardian Life Insurance | San Diego | CA | 08/2023 | Present |
| Park Avenue Securities | San Diego | CA | 08/2023 | Present |
| Guardian Life Insurance Company | Marion | MT | 06/2024 | Present |
| Guardian Life Insurance Company | Marion | MT | 06/2024 | Present |
INSURANCE: Insurance products other than those offered through Guardian and its subsidiaries START DATE 11/07/2019 9605 Scranton Road #625, San Diego CA 92121 10 TOTAL hours per month will be spend on this Outside Business Activity 10 hours per month during normal securities trading hours INVESTMENT RELATED Union Member Benefit: Provide disability benefit to Union fire fighters. START DATE 02/14/2017 1199 Pacific Hwy #1504, San Diego, CA 92101 2 total hours per month will be spend on this Outside Business Activity 2 hours per month during normal securities trading hours INVESTMENT RELATED
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-10-20 |
| S63 | Uniform Securities Agent State Law Examination | 2020-02-05 |
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