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10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2022-02-23 |
| AZ | RA | APPROVED | 2021-05-04 |
| NY | RA | APPROVED | 2021-04-16 |
| FL | RA | APPROVED | 2020-11-03 |
| CT | RA | APPROVED | 2019-04-03 |
| OH | RA | APPROVED | 2018-10-15 |
| CO | RA | APPROVED | 2018-03-13 |
| TX | RA | APPROVED_RES | 2018-03-08 |
| NJ | RA | APPROVED | 2018-03-06 |
| NV | RA | APPROVED | 2017-03-03 |
| IL | RA | APPROVED | 2017-02-02 |
| WA | RA | APPROVED | 2015-06-18 |
| CA | RA | APPROVED | 2015-05-08 |
Branch Locations
5405 Morehouse Drive Suite 245, San Diego, CA 92121 • United States
3623 Crossings Drive Suite 201, Prescott, AZ 86305 • United States
Prescott, AZ • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Guardian Life Insurance Company | Claremont | CA | 08/2010 | 07/2021 |
| Park Avenue Securities | Claremont | CA | 07/2011 | 07/2021 |
| Guardian Life Insurance | Prescott | AZ | 07/2021 | Present |
| Park Avenue Securities | Prescott | AZ | 07/2021 | Present |
| Guardian Life Insurance | Irvine | CA | 10/2021 | 06/2023 |
| Park Avenue Securities | Irvine | CA | 10/2021 | 06/2023 |
1. Life Insurance Sales-Sales of outside insurance carriers for LIfe, DI and LTC. Start: 01/01/2011, Address: 333 N. Indian Hill Blvd. Claremont, CA 91711 80 total hours per month, 80 during securities trading hours, Greater than 10% annual compensation, Investment related, 2. Financial Education-Provide Financial Education Workshops to groups and organizations, Start: 06/01/2016, Address: 10329 Vista Grove St., Alta Loma, CA 91737, 5 total hours per month, 2 during securities trading hours, Less than 10% annual compensation, Not Investment related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-04-23 |
| S63 | Uniform Securities Agent State Law Examination | 2011-10-27 |
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