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10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2025-10-27 |
| SC | RA | APPROVED | 2023-09-06 |
| WI | RA | APPROVED | 2022-05-06 |
| NV | RA | APPROVED | 2022-04-07 |
| TN | RA | APPROVED | 2022-04-06 |
| NE | RA | APPROVED | 2022-02-02 |
| MA | RA | APPROVED | 2021-10-25 |
| MI | RA | APPROVED | 2021-06-04 |
| NY | RA | APPROVED | 2021-04-16 |
| NC | RA | APPROVED | 2021-04-14 |
| GA | RA | APPROVED | 2020-10-28 |
| MO | RA | APPROVED | 2020-10-27 |
| TX | RA | APPROVED | 2020-10-27 |
| FL | RA | APPROVED | 2018-01-08 |
| CA | RA | APPROVED | 2018-01-05 |
| WA | RA | APPROVED | 2018-01-05 |
Branch Locations
101 Westpark Dr Suite 310, Brentwood, TN 37027 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Northwestern Mutual Life Insurance Company | Milwaukee | WI | 10/2002 | 12/2017 |
| Northwestern Mutual Investment Services Llc | Newport Beach | CA | 10/2002 | 12/2017 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 01/2016 | 12/2017 |
| Guardian Life Insurance Company | San Ramon | CA | 12/2017 | 10/2020 |
| Park Avenue Securities | San Ramon | CA | 01/2018 | 10/2020 |
| Guardian Life Insurance Company | Brentwood | TN | 10/2020 | Present |
| Park Avenue Securities | Brentwood | TN | 10/2020 | Present |
1. Insurance other than Guardian and Innovative Underwriters-Provide Health Insurance, Dental and other products, Start: 12/20/2002, Address: 1 Garden Park Ct Alamo, CA 94507, 8 non bus hrs per month, Investment related, 2) Executor of Brother's Trust Start: 11/01/2021, Address: 1828 SANDCLIFF RD PALM SPRINGS CA 92264-4815, 0 total hours per month, Not investment related, No annual compensation,
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-04-28 |
| S63 | Uniform Securities Agent State Law Examination | 2002-10-21 |
| S66 | Uniform Combined State Law Examination | 1998-12-16 |
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