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10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2025-09-24 |
| KY | RA | APPROVED | 2018-03-01 |
Branch Locations
9300 Shelbyville Road Suite 320, Louisville, KY 40222 • 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 |
|---|---|---|---|---|
| Metropolitan Life Insurance Co | Louisville | KY | 06/2001 | 03/2017 |
| Metlife Securities Inc | Louisville | KY | 06/2001 | 03/2017 |
| Massachusetts Mutual Life Insurance Company | Springfield | MA | 07/2016 | 11/2017 |
| Mml Investors Services, Llc | Louisville | KY | 03/2017 | 11/2017 |
| Guardian Life Insurance Company | Louisville | KY | 11/2017 | Present |
| Park Avenue Securities | Louisville | KY | 11/2017 | Present |
1. CONGREGATION ADATH JESHURUN ASST. TREASURER AND BOARD MEMBER. Start: 06/30/2019 Address: 2401 WOODBOURNE AVENUE, LOUISVILLE, KY 40205 4 non bus hrs per month Not investment related 2) Insurance & Annuities other than Guardian Life Insurance Co., Start: 11/18/2020, Nature: Insurance Sales, Address: 9300 Shelbyville Road Suite 320 Louisville, Ky. 40222, Duties: Broker selling insurance outside of Guardian, 1 total hour per month; 1 during securities trading hours, Investment related,
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-20 |
| S63 | Uniform Securities Agent State Law Examination | 1999-02-17 |
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