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9000 Keystone Crossing Suite 400, Indianapolis, IN 46240 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2025-06-26 |
| IN | RA | APPROVED | 2024-10-30 |
Branch Locations
9000 Keystone Crossing Suite 400, Indianapolis, IN 46240 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Guardian Life Insurance Co Of America | Indianapolis | IN | 03/1988 | 08/2023 |
| Park Avenue Securities Llc | Indianapolis | IN | 05/1999 | 08/2023 |
| Pks Investments | Albany | NY | 08/2023 | Present |
| Wellington Wealth Strategies | Indianapolis | IN | 08/2023 | 10/2024 |
| The Wellington Grp Llc | Indianapolis | IN | 10/2024 | Present |
1.NAPCG (National Advisors Private Client Group), Start: 01/01/2004, Address: 800 Westchester Avenue, N-409 Rye Brook, NY 10573, Hrs per month - Tot/Bus: 3/2, Not Investment Related, 2. Fixed Insurance. Investment Related. At Registered Location. Independent Insurance agency. Agent. 9/2023. 80 hrs/month all during trading hrs. Provide insurance advice based on the needs of clients. 3. The Wellington Group LLC. I am the sole owner of the LLC, Start: 01/01/1996, Address: 9000 Keystone Crossing #400 Indianapolis, IN 46240, 160 bus hrs per month, Investment related, 4. NAPCG VENTURS LLC- Established LLC to hold private investment of Pendella. Start: 01/23/2022, Address: 3625 E. 96th St. Indianapolis Indiana 46240, 1 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 | 1995-03-22 |
| S63 | Uniform Securities Agent State Law Examination | 1986-08-20 |
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