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10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-09-23 |
| AL | RA | APPROVED | 2020-09-17 |
| MS | RA | APPROVED | 2003-08-21 |
| LA | RA | APPROVED | 2002-09-18 |
Branch Locations
661 Sunnybrook Road Suite 120, Ridgeland, MS 39157 • 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 Ins Co | New York | NY | 09/1978 | Present |
| Park Avenue Securities Llc | New York | NY | 05/1999 | Present |
| Guardian Life Ins Co | Ridgeland | MS | 12/2025 | Present |
| Park Avenue Securities Llc | Ridgeland | MS | 12/2025 | Present |
1. ALLEN FINANCIAL GROUP, PA (S Corp)- Insurance products other than Guardian.. Start: 09/01/1978, Address: 661 Sunnybrook Rd Ste 120 Ridgeland, MS 39157, 10 total hrs per month; 10 during securities trading hours, Investment related, More than 10% annual compensation, 2. COTTON VALLEY LEASING (S CORP), Nature: automobile and equipment leasing which is designed to serve the equipment and transportation needs of Allen Financial Group PA, Start: 01/01/1998, Address: 661 Sunnybrook Rd Ste120 Ridgeland, MS 39157, Duties: Owner, 1 total hour per month; 0 during securities trading hours, Not investment related, 3. David B. Allen CLU-Consulting product design and management of fixed risk based insurance products (not including variable products),. Start: 05/01/2011, Address: 661 Sunnybrook Rd Ste 120 Ridgeland, MS 39157, 4 total hour per month; 4 during securities trading hours, Not investment related, Less than 10% annual compensation, 4. Dubard Family Trust, William J Dubard Sr. Irrevocable Trust -Trustee for the Dubard Family Trust. Handle issue of check distribution, consult with outside investment advisors, accountants and attorneys for Trust,. Start: 01/01/2008, Address: 661 Sunnybrook Rd Ste 120 Ridgeland, MS 39157, 2 total hours per month; 2 during securities trading hours, Investment related, Less than 10% annual compensation, 5. Speaking Engagements-I provide Continuing Education seminars, Start: 01/15/2010, Address: 661 Sunnybrook Rd Ste 120 Ridgeland, MS 39157, 1 total hour per month; 1 during securities trading hours, Not investment related, Less than 10% annual compensation, 6. Lake Traderhorn Association-I am treasurer and board member,. Start: 10/01/2011, Address: PO Box 126 County Road 83; McCarley, MS 38943, 2 non bus hrs per month, Not investment related, 7. RIDGEWOOD INVESTMENTS, LLC Nature: Leasing, property management, financial management, buying and selling of commercial real estate, Start: 01/01/1984, Address: 661 Sunnybrook Rd Ste 120 Ridgeland, MS 39157, Duties: Owner, 4 total hour per month; 4 during securities trading hours, Investment related, 8. Ashford Mississippi, LLC, Start: 11/01/2017, Address: 661 Sunnybrook Rd Ste 120 RIdgeland, MS 39157, 20 total hours per month; 20 during securities trading hours, Investment related, Less than 10% annual compensation, 9. Durable Power of Attorney for Cheryl Delynn Dubard Allen, Start: 12/08/2022, Address: 5898 Ridgewood Road Jackson, MS. 39211, 1 total hour per month; 0 during securities trading hours, Investment related, No annual compensation, 10. Advance Health-Care Directive and Medical POA for Cheryl Dubard Allen, Start: 12/08/2022, Address: 5898 Ridgewood Road Jackson, MS. 39211, 1 total hour per month; 0 during securities trading hours, Not investment related, No annual compensation, 11. Insurance business outside of Guardian, Start: 9/1/1978, Nature: Insurance Sales, Address: 661 Sunnybrook Rd, Ste 120 Ridgeland, MS 39157, Duties: Broker selling insurance other than Guardian, 3 total hours per month; 3 during securities trading hours, Investment Related,
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1987-12-31 |
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