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10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2026-08-06 |
| ID | RA | APPROVED | 2026-08-06 |
Branch Locations
1 Capitol Mall Suite 300, Sacramento, CA 95814 • United States
Oakley, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| New York Life | Stockton | CA | 12/2010 | 04/2022 |
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 04/2022 | 03/2024 |
| Northwestern Mutual Investment Services Llc | Walnut Creek | CA | 05/2022 | 03/2024 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 07/2022 | 03/2024 |
| Guardian Life Insurance Company | Sacramento | CA | 03/2024 | Present |
| Park Avenue Securities | Sacramento | CA | 03/2024 | Present |
| Guardian Life Insurance Company | Oakley | CA | 06/2024 | Present |
| Park Avenue Securities | Oakley | CA | 06/2024 | Present |
1. Successor Trustee for Mother, Start Date: 1/27/2022, Address: 105 Willowrun Way, Oakley, CA 94561, 0 total hours per month; 0 during securities trading hours, Not investment related, No annual compensation,
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2026-07-29 |
| S63 | Uniform Securities Agent State Law Examination | 2013-04-30 |
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