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10 Hudson Yards, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| SC | RA | APPROVED | 2026-06-22 |
| VA | RA | APPROVED | 2026-05-29 |
| IL | RA | APPROVED | 2023-06-08 |
| WY | RA | APPROVED | 2022-02-02 |
| OK | RA | APPROVED | 2021-09-21 |
| NY | RA | APPROVED | 2021-04-16 |
| MT | RA | APPROVED | 2021-02-25 |
| NV | RA | APPROVED | 2020-11-06 |
| CA | RA | APPROVED | 2012-04-20 |
| ID | RA | APPROVED | 2009-10-21 |
| OR | RA | APPROVED | 2009-10-20 |
| WA | RA | APPROVED | 2009-10-20 |
Branch Locations
5 Centerpointe Drive Suite 220, Lake Oswego, OR 97035 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Guardian Life Insurance Company | Portland | OR | 10/2009 | 08/2018 |
| Park Avenue Securities | Portland | OR | 10/2009 | 08/2018 |
| Guardian Life Insurance Company | Lake Oswego | OR | 08/2018 | Present |
| Park Avenue Securities | Lake Oswego | OR | 08/2018 | Present |
1. Broad River Benefits, LLC-Marketing firm for Group Medical, Dental, Vision, Disability, Long-Term Care and Individual Medical Insurance, Start: 06/15/2013, Address: 5 Centerpointe Drive, Suite 150 Lake Oswego, OR 97035, 4 total hours per month, 2 during securities trading hours, Less than 10% annual compensation, Not investment related, 2. Broad River, LLC-The entity has been established as a DBA for my Guardian General Agency. Start: 03/01/2013, Address: 9629 SW 18th Place Portland, OR 97219, 1 total hour per month, 1 during securities trading hours, More than 10% annual compensation, Investment related, 3. Outside Insurance Sales-Sales of fixed products (life, disability insurance, etc.) where Guardian is not a solution., Start: 10/16/2009, Address:9629 SW 18th Place Portland, OR 97219, 0 hrs per month, Investment related, 4. Liberty ID-Helping clients get protection for identity theft,. Start: 05/01/2017, Address: 5 Centerpointe Drive, Suite 150 Lake Oswego, OR 97035, 1 bus hr per month, not investment related, 5. WestPac Wealth Partners, LLC-Oregon-The entity has been established as a DBA for my Guardian General Agency,. Start: 02/01/2017, Address: 5 Centerpointe Drive, Suite 150 Portland, OR 97035, 100 total hours per month, 100 during securities trading hours, More than 10% annual compensation, Investment related, 6. WestPac Wealth Partners LLC- Montana-The entity has been established as a DBA for the Montana Guardian General Agency. Start: 01/01/2019, Address: 1014 South Ave West, Suite A Missoula, Montana 59801, 80 total hours per month, 80 during securities trading hours, More than 10% annual compensation, Investment related, 7. The Heatherington Foundation for Innovation & Education in Health Care, Inc,-Board Member, Start: 02/01/2019, Address: 2121 SW Broadway, Suite 115, Portland, OR 97201, 1 total hour per month, 1 during securities trading hours, Not investment related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-11-30 |
| S63 | Uniform Securities Agent State Law Examination | 1990-01-19 |
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