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10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2023-03-29 |
| NY | RA | APPROVED | 2021-04-16 |
| MA | RA | APPROVED | 2016-05-02 |
| ME | RA | APPROVED | 2008-01-30 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Guardian Life Insurance Company | New York | NY | 12/2000 | Present |
| Park Avenue Securities | New York | NY | 12/2000 | Present |
1. COMMERCIAL REAL ESTATE- I own the building we work out of, Start: 10/01/2004, Address: 45 Bridgton Rd. Westbrook, ME 04092, 3 bus hrs per month, Investment related, 2. Insurance Sales-Sell term and fixed annuities with other carriers, Start: 07/15/1983, Address: 45 Bridgton Rd. Westbrook, ME 04092, 2 bus hrs per month, Investment related, 3) James Violette-teaching the Maine Life and Health Producers license Course, Start: 03/07/2022, Address: 45 Bridgton Rd. Westbrook Maine 04092, 4 total hours per month; 4 during securities trading hours, Not investment related, Less than 10% annual compensation,
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-01-25 |
| S63 | Uniform Securities Agent State Law Examination | 1994-03-23 |
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