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Account
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10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2026-03-25 |
| AK | RA | APPROVED | 2026-02-27 |
| SC | RA | APPROVED | 2025-09-29 |
| NY | RA | APPROVED | 2025-09-25 |
| IA | RA | APPROVED | 2025-07-23 |
| WI | RA | APPROVED | 2024-08-15 |
| CO | RA | APPROVED | 2024-01-12 |
| FL | RA | APPROVED | 2024-01-12 |
| HI | RA | APPROVED | 2024-01-12 |
| KY | RA | APPROVED | 2024-01-12 |
| MD | RA | APPROVED | 2024-01-12 |
| ND | RA | APPROVED | 2024-01-12 |
| OK | RA | APPROVED | 2024-01-12 |
| GA | RA | APPROVED | 2023-08-16 |
| VA | RA | APPROVED | 2022-08-04 |
| TX | RA | APPROVED_RES | 2022-06-16 |
| WV | RA | APPROVED | 2021-05-17 |
| NC | RA | APPROVED | 2021-04-29 |
| IL | RA | APPROVED | 2020-09-28 |
| KS | RA | APPROVED | 2020-09-02 |
| IN | RA | APPROVED | 2017-09-19 |
| OH | RA | APPROVED | 2014-03-18 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Guardian | Louisville | KY | 06/2014 | 06/2024 |
| Park Ave Securities | Louisville | KY | 06/2014 | 06/2024 |
| Guardian Life Insurance Company | Lexington | KY | 06/2024 | Present |
| Park Avenue Securities | Lexington | KY | 06/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-08-15 |
| S63 | Uniform Securities Agent State Law Examination | 2013-04-25 |
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