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10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2021-09-07 |
| NJ | RA | APPROVED | 2011-11-16 |
Branch Locations
1040 Broad Street Suite 202, Shrewsbury, NJ 07702-4331 • United States
50 Tice Blvd Suite 280, Woodcliff Lake, NJ 07677 • United States
1616 West End Avenue Unit 3106, Nashville, TN 37203 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Guardian Life Insurance Co Of America | Shrewsbury | NJ | 04/2010 | Present |
| Park Avenue Securities Llc | Shrewsbury | NJ | 04/2010 | Present |
| Guardian Life Insurance Company | Woodcliff Lake | NJ | 11/2022 | Present |
| Park Avenue Securities | Woodcliff Lake | NJ | 11/2022 | Present |
| Guardian Life Insurance Company | Nashville | TN | 06/2024 | Present |
| Park Avenue Securities | Nashville | TN | 06/2024 | Present |
1) Planning Alliance LLC, Chairman/Owner - General Agent, Start date: 01/01/1999, Address: 50 Tice Blvd. Suite 280, Woodcliff Lake, NJ 07677, 40 Total hours per month, 40 during securities trading hours, Investment related, More than 10% annual compensation, 2) Planning Alliance Consulting, LLC, Owner, Consulting services provided to businesses and estates, Start date: 09/16/2016, Address: 1040 Broad Street Suite 202 Shrewsbury, NJ 07702, 0 Total hours per month, Not investment related, Less than 10% annual compensation, 3) Other Insurance Products Besides Guardian, Start Date: 1/1/2001, Nature: Insurance other than Guardian, Address: 1040 Broad Street, 2nd Floor Shrewsbury, NJ 07702, Duties: Insurance Broker selling insurance products other than Guardian, 1 total hour per month; 1 during securities trading hours, Investment Related,
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-03-01 |
| S63 | Uniform Securities Agent State Law Examination | 1996-04-23 |
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