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10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2021-10-18 |
Branch Locations
910 E. Hamilton Avenue Suite 150, Campbell, CA 95008 • United States
1900 Camden Avenue, San Jose, CA 95124 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fintel Inc | Fremont | CA | 09/1987 | Present |
| Proequities, Inc | Fremont | CA | 01/2015 | 10/2021 |
| Harvest Investment Services, Llc | Fremont | CA | 05/2015 | 06/2018 |
| Prosperity Financial Group, Inc. | San Ramon | CA | 07/2019 | 03/2020 |
| (Dba) Total Prosperity | Fremont | CA | 01/2021 | 10/2022 |
| Guardian Life Insurance Co Of America, Inc | Campbell | CA | 10/2021 | Present |
| Park Avenue Securities, Llc | Campbell | CA | 10/2021 | Present |
| Guardian Life Insurance Company | San Jose | CA | 01/2022 | Present |
| Park Avenue Securities | San Jose | CA | 01/2022 | Present |
1) Outside Insurance Sales- Sales of insurance products not offered by Guardian, Start: 09/17/2012, Address: 48790 Plomosa Road Fremont CA 94539, 5 total hours per month; 5 during securities trading hours, Investment related, More than 10% annual compensation, 2) California Republican Party - Delegate, Start: 11/05/1994, Address: 48790 Plomosa Road Fremont CA 94539, 12 total hours per month; 0 during securities trading hours, Not Investment related, No annual compensation,
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2005-11-09 |
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