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10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NH | RA | APPROVED | 2024-09-18 |
| MD | RA | APPROVED | 2022-11-22 |
| DE | RA | APPROVED | 2022-09-13 |
| FL | RA | APPROVED | 2022-01-24 |
| NY | RA | APPROVED | 2021-04-16 |
| CT | RA | APPROVED | 2020-01-16 |
| AZ | RA | APPROVED | 2019-07-12 |
| CO | RA | APPROVED | 2015-10-28 |
| MN | RA | APPROVED | 2013-11-06 |
| NJ | RA | APPROVED | 2006-02-28 |
| GA | RA | APPROVED | 2005-03-10 |
| VA | RA | APPROVED | 2003-09-02 |
| CA | RA | APPROVED | 2003-04-09 |
Branch Locations
800 Westchester Avenue 4Th Floor Suite N409, Rye Brook, NY 10573 • United States
Ossining, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Guardian Life Insurance Company Of America | White Plains | NY | 04/2002 | Present |
| Park Avenue Securities | White Plains | NY | 04/2002 | Present |
| Guardian Life Insurance Company | Ossining | NY | 06/2024 | Present |
| Park Avenue Securities | Ossining | NY | 06/2024 | Present |
1. Sale of outside insurance products- assist clients in purchasing life, long-term care, disability, and group health, as well as, fixed annuities from a wide range of insurance companies. Start: 02/01/2014, Address: 800 Westchester Avenue, Suite N409Rye Brook, NY 10573, 5 bus hrs per month, Investment related, 2. Trustee for the Roger & Latie McLean Revocable Trusts-co-trustee for two family trusts, Start: 08/19/2019, Address: 47 Overton Road, Ossining, NY 10562, 2 total hours per month; 1 during securities trading hours, Investment related, Less than 10% annual compensation,
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-11-27 |
| S63 | Uniform Securities Agent State Law Examination | 2002-05-07 |
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