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10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| SC | RA | APPROVED | 2019-07-23 |
| CA | RA | APPROVED | 2010-01-06 |
| LA | RA | APPROVED | 2006-06-27 |
| TX | RA | APPROVED_RES | 2004-04-13 |
| NC | RA | APPROVED | 2004-04-01 |
Branch Locations
6115 Park South Drive Suite 200, Charlotte, NC 28210 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Guardian Life Insurance Co., Inc. | Charlotte | NC | 07/1997 | Present |
| Park Avenue Securities Llc | Charlotte | NC | 05/1999 | Present |
1. Insurance other than Guardian-sell life and health insurance as needed by clients., Start: 01/01/1981, Address: 6115 Park South Drive Suite 200 Charlotte, NC 28210, 2 non bus hrs per month, Investment Related, 2. Secretary/Treasurer Orient Point Homeowners Association-Maintain the books and records of the association. Any checks written on the association account must be signed by 2 individuals - the President and the Sec/treasurer,. Start: 02/24/2019, Address: no physical address, 2-3 hours per month, 0 during securities trading hours, Not investment related,
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-10-08 |
| S63 | Uniform Securities Agent State Law Examination | 1982-09-10 |
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