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35 West Broad Street Suite 100, Stamford, CT 06902 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2022-10-20 |
Branch Locations
35 West Broad Street Suite 100, Stamford, CT 06902 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Guardian Life Insurance Co Of America | New York | NY | 02/2016 | 10/2022 |
| Park Avenue Securities, Llc | New York | NY | 02/2016 | 10/2022 |
| Sovereign Financial Group, Inc | Stamford | CT | 10/2022 | Present |
Outside Insurance Sales through Innovative underwriters Inc. and Mass Mutual. Investment related. Innovative is located at 1800 JFK Blvd, #700, Philadelphia PA 19103 and Mas Mutual is located at 1295 State St, Springfield, ma 01111. Agent. 5 hours a month devoted to this activity, all 5 hours during trading hours. Duties include selling insurance to clients when it is appropriate and needed. First Assist Planning LLC. Non-Investment Related. 418 Broadway Ste N, Albany, NY 12207. Inactive LLC, used originally for receiving revenue from RIA business. 0 hours a month are devoted to this, 0 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-08-15 |
| S63 | Uniform Securities Agent State Law Examination | 2008-12-11 |
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