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While partners may pay to provide offers or be featured, e.g. Routing [ABA] Number: 011102612 Account Number: 521378085 Account Name: Development Account. First, we looked at data from the Bureau of Labor Statistics (BLS) on the average annual expenditures of seniors. Our commitments rest on a strong financial foundation, which at year-end 2019 included $9.3 billion in capital and $1.7 billion in operating income. Today there are over 400 Park Avenue Securities branch offices with over 2600 registered representatives in every state. Read how DTCC puts resilience at center of business planning. 666 666 610 277 277 277 469 556 We do not manage client funds or hold custody of assets, we help users connect with relevant financial advisors. The easiest way to know if you have a viable case against Park Avenue Securities is to call Attorney Pearce at our office at800-732-2889. No matter which stage you're at, Sedway Financial will help you establish an investing approach that fits your circumstances. 333 736 370 556 583 0 736 552 666 666 666 666 277 277 277 277 /CIDToGIDMap /Identity 600 600 600 600 600 600 600 600 . 610 556 556 556 556 500 556 500 The firm's website is not secure by modern internet standards. 333 556 556 500 556 556 277 556 PAS is a wholly-owned subsidiary of Guardian. The SEC pursuant to the Division of Enforcements (the Division) Share Class Selection Disclosure Initiative (SCSD Initiative) accepted a settlement offer for Park Avenue Securities violations of the Investment Advisors Act of 1940. The firms failure to conduct an adequate investigation violated NASD Rule 3010 and FINRA Rule 2010. 1015 666 666 722 722 666 610 777 /Descent 211 /Supplement 0 600 600 600 600 600 600 600 600 600 600 600 600 600 600 600 600 /Widths [ /Widths [ /Name /F2 << 399 548 333 333 333 576 556 333 556 556 556 556 556 556 889 500 Park Avenue Securities is a wholly owned subsidiary of The Guardian Life Insurance Company of America and is located at 10 Hudson Yards, New York, NY 10001. OSJ: 5280 Carroll Canyon Road, Ste 300 San Diego CA 92121, United States (619) 684-6400PAS is a wholly-owned subsidiary of The Guardian Life Insurance Company of America (Guardian), New York, NY. stream (212) 919-8551Ana_Sandoval@glic.com. The securities attorneys at The Law Offices of Robert Wayne Pearce, P.A., have helped countless investors over the last 40 years recover the losses from their investment accounts that were caused by broker negligence or misconduct. In the past ten years, firm or an advisory affiliate has been convicted of or pled guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to a felony. By providing this content, Park Avenue Securities LLC is not undertaking to provide any recommendations or investment advice regarding any specific account type, service, investment strategy or product to any specific individual or situation, or to otherwise act in any fiduciary or other capacity. To file a complaint or dispute with this firm, please fill out the SEC Investor Complaint Form. What does this mean and why is it important? In Computershare, the page will automatically detect who the broker is based on DTC code. park avenue securities dtc number. Some of this material was developed and produced by Park Avenue Securities offers investment advisory services to both non-high-net-worth and high-net-worth individuals, pension and profit-sharing plans, charitable organizations insurance businesses and companies. What does this mean and why is it important? Securities products and advisory services offered through Park Avenue Securities LLC (PAS), member FINRA, / SIPC . 1015 666 666 722 722 666 610 777 That's our specialtylogin toNetXInvestor for online access to your Park Avenue Securities account 24/7. It is now one of the 50 largest independent broker-dealer and investment advisory firms in the United States. The regulator censured the broker-dealer, fined it $300,000, and ordered it to make restitution to the affected customers in the total amount of over $443,000 for those UIT sales abuses. 0 [500 ] In my many years of experience, Bob is as good or better than anyone I have ever worked with and always gives every case his maximum best effort. Park Avenue Securities imposes different initial investment requirements that depend on the program you're subscribed to. Through its affiliated advisors, Park Avenue works with tens of thousands of individual clients. While this allows for a broader range of investment options and management styles to be offered by a firm, it can create an incentive for the firm to put their financial interests ahead of your own. Park Avenue Securities currently serves clients in the following states: AL, AK, AZ, AR, CA, CO, CT, DE, DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, LA, ME, MD, MA, MI, MN, MS, MO, MT, NE, NV, NH, NJ, NM, NY, NC, ND, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VT, VI, VA, WA, WV, WI, WY. /FontBBox [ -122 -680 623 1021 ] /Encoding /WinAnsiEncoding 666 777 722 666 610 722 666 943 556 0 277 556 500 1000 556 556 600 600 600 600 600 600 600 600 PARK AVENUE SECURITIES LLC SEC# 46173 8-51324 Main Office Location Mailing Address Business Telephone Number Doing business as PARK AVENUE SECURITIES LLC 1 . When firms are dual-registered as broker-dealers, they may be subject to compensation-related conflicts of interest, including revenue sharing from mutual funds and the sale of proprietary investment products. /FontDescriptor 11 0 R Firm offers products that have performance-based fees; the managers of those products may be incentivized to take inappropriate risks to beat their performance benchmark. sauce pizza and wine mac and cheese. All investing involves risk, including loss of principal. In fact, it is not unusual for there to be only one compliance audit visit per year at many of these offices. /FontBBox [ 0 -211 1359 899 ] Home; Firm Overview. Today,the firm exists as a wholly owned subsidiary of The Guardian Life Insurance Company of America, a life insurance and annuity company. 277 333 474 556 556 889 722 237 We assumed the $1 million would grow at a real return (interest minus inflation) of 2%. See Advisors At This Firm. Menu Feb 16, 2021, 12:25 ET. 3 0 obj Questions to ask /BaseFont /Arial,Italic Sensitive information sent over an HTTP connection can easily be eavesdropped on by third-parties. /BaseFont /Arial,Bold FMG Suite is not affiliated with the named Please contact a financial representative for guidance and information specific to your individual situation. What does this mean and why is it important? Find company research, competitor information, contact details & financial data for Park Avenue Securities of Madison, WI. ] Financial planning services can include tax planning, estate planning, retirement planning, or life-based event planning such as saving for college, getting married, purchasing a home, paying down debt, or planning an inheritance. As a result, they may be incentivized to recommend products from these affiliates due to extra commissions or compensation earned. 333 1000 666 333 1000 0 610 0 277 333 556 556 556 556 259 556 Marianne has over 20 years of experience in building and leading advisory and broker dealer operations, said Lesina. We have launched many investigations of current and former Park Avenue Securities advisors: If you have lost money investing with any of these Park Avenue Securities advisors or others within this brokerage firm, its important that you reach out to an investment loss attorney quickly because the statutes of limitations can bar your claims. California Insurance ID #0A97877. 722 722 722 722 722 722 1000 722 722 277 556 722 610 833 722 777 The information in this material is not intended as tax or legal advice. Does the firm offer products that have performance-based fees, or does it accept performance-based fees? Click to log in to our other vendors SEI Private Trust Company and AssetMark. 10 Hudson Yards. These commissions may be earned from the sale of investment or insurance products and are paid by the companies providing the products being sold. As a result of these deficiencies, FINRA discovered Park Avenue Securities failed to detect the unauthorized sales of securities and the wiring of funds by a Park Avenue Securities unregistered administrative assistant who misappropriated approximately $255,300 from the Park Avenue Securities accounts of two elderly customers over a period of more than three years. Firm or an advisory affiliate has previously been fined or ordered to cease and desist activity by the SEC or CFTC. /Flags 35 The S&P 500 and Dow Jones Industrial Average closed lower for the week as investors reacted to this week's economic releases, along with comments from several Fed officials. /Type /Font 0 222 222 333 333 350 556 1000 The registered representatives control their structure and costs to maximize profits and often leave the protection of investors rights and interests as their lowest priority. Generally, your account may invest in mutual funds, ETFs, closed-end funds, separately managed accounts (SMAs), individual stocks and bonds and more. /)+"ddiMA_ZeZa . /Descent 211 What does this mean and why is it important? This section provides the listings of participants alphabetically by name and number for National Securities Clearing Corporation (NSCC). What does this mean and why is this important? << Use of most services provided by the regulated DTCC subsidiaries generally require membership in that subsidiary. /FontDescriptor 7 0 R National Financial Network is not an affiliate or subsidiary of PAS or Guardian. endobj Park Avenue Securities is a wholly owned subsidiary of The Guardian Life Insurance Company of America and is located at 10 Hudson Yards, New York, NY 10001. 399 548 333 333 333 576 537 333 0 600 600 600 600 600 600 600 Your trusted wealth management destination. Does your fim accept soft-dollar benefits? Firm or an advisory affiliate was previously found to have made false statements or omissions by a self-regulatory organization. You can contact Park Avenue Securities by calling (888) 600-4667. /Encoding /WinAnsiEncoding Questions to ask . Firm's/Financial Professional's investor.com profile pages may contain certain limited information directly provided to investor.com by the Firm/Financial Professional including, by way of example only, the Personal Bio, Certifications, and/or Investment Philosophy portions of the profile page. Perhaps, if FINRA imposed a meaningful fine, the firm might not have looked the other way when it came to enforcing its own supervisory procedures. / jp morgan chase dtc number 902. jp morgan chase dtc number 902. 89450. SmartAssets services are limited to referring users to third party advisers registered or chartered as fiduciaries ("Adviser(s)") with a regulatory body in the United States that have elected to participate in our matching platform based on information gathered from users through our online questionnaire. FINRA concluded that Park Avenue Securities violated NASD Rule 3010 and FINRA Rules 2330, 3110 and 2010 and censured and fined the firm $300,000. Investor.com is your trustworthy guide to the world of personal finance. Any data inaccuracies, please contact our team. What does this mean? >> Alternatively, you can send a message via the contact page on its website. SCHEDULE 14A . 500 500 500 333 259 333 583 0 556 556 556 556 556 556 556 548 As one of the largest and oldest mutual life insurance companies in the U.S., Guardian operates for the benefit of its policyholders, rather than outside stockholders. 556 556 333 500 277 556 500 722 Sacramento, CA 95826-2800. Does your firm recommend securities that it or its affiliates underwrite, or in which it serves as general or managing partner? Methodology We analyzed data on average expenditures for seniors, cost of living and investment returns to determine how many years of retirement a $1 million nest egg would cover in cities across America. AtPark Avenue Securities LLC, we are a broker/dealer that is a whollyowned subsidiary of Guardian, which has a rich heritage of promises kept since 1860. Firm or an affiliate actively engages in business as a law firm or lawyer. Will anyone that was involved be involved with my accounts in any capacity? Whether its building a long-term investment strategy for retirement, saving for college,or capital preservation, at Park Avenue Securities, we provide financial professionalswith the products and tools to help you step forward to take charge of your financial future and achieve financial success. A Self-Regulatory Organization has previously found the firm or an advisory affiliate responsible for having an investment-related business have its authorization to do business denied, suspended, or revoked. The Registered Agent on file for this company is Corporation Service Company and is located at 225 Asylum Street 20th Floor, Hartford, CT 06103. If you are lucky enough to be referred to Bob, I wouldn't look any further. As a final positive reflection of Robert, his staff is highly skilled and always welcoming. February 27, 2023 new bill passed in nj for inmates 2022 No Comments . PAS is a wholly owned subsidiary of The Guardian Life Insurance Company of America (Guardian), New York, NY. /FontBBox [ -517 -325 1359 998 ] PARK AVENUE SECURITIES LLC is a Connecticut LLC filed on August 19, 1999. Sources: Bureau of Labor Statistics (BLS), Council for Community and Economic Research. 556 556 556 556 556 556 556 556 Non-Physical Deliveries/DTC Securities DTC Number: 0725 FAO: Suffield Academy Account Number: 24288643 . Guardian Life /Subtype /TrueType Its independent broker-dealer Business Model has grown through acquisition and organic development of primarily one and two person registered representative offices supervised remotely. 556 222 222 500 222 833 556 556 << 333 1000 666 333 1000 0 610 0 /Descent -210 Caswell obtained her Bachelor of Arts in Mathematics with a concentration in Business and Communication from Canisius College in Buffalo, New York. 666 666 610 333 277 333 583 556 OSJ: 333 N Indian Hills Blvd, Claremont, CA 91711, Ph: 909-399-1100. SECURITIES AND EXCHANGE COMMISSION . Oftentimes there is no daily review of sales literature and client correspondence to protect against misrepresentations and misleading statements being made to investors. What does this mean and why is it important? Member FINRA, SIPC. /DescendantFonts [16 0 R] /Type /FontDescriptor Is your firm affiliated with a law firm in any capacity? Securities products/services and advisory services offered through Park Avenue Securities LLC, a registered broker-dealer and registered investment adviser. The NSCC member directory is made available here to all interested . 277 333 556 556 556 556 279 556 Park Avenue Securities also received 12b-1 fees for advising clients to invest in or hold such mutual fund share classes. Some firms receive these fees as payments, which creates an incentive to promote them. During the course of another FINRA investigation, the regulator discovered that Park Avenue Securities failed to apply sales charge discounts to certain customers eligible purchases of unit investment trusts (UITs) in violation of FINRA Rule 2010. This page contains links to SmartAssets financial advisor matching tool, which may or may not match you with the firm mentioned in this review or its financial professionals. /Flags 32 exclusive offers, they cannot pay to alter our recommendations, advice, ratings, or any other content throughout the site. /Type /FontDescriptor At the Law Offices of Robert Wayne Pearce, we have investigated Park Avenue Securities, its regulatory and customer complaints, and have also represented investors with claims of fraud, negligence, and breach of fiduciary duty against this organization and its financial advisors. Questions to ask << . When? /BaseFont /CourierNew In addition, Park Avenue Securities failed to establish, maintain and enforce a supervisory system and written supervisory procedures (WSPs) reasonably designed to ensure that customers received sales charge discounts on all eligible UIT purchases in violation of NASD Conduct Rule 3010 and FINRA Rule 2010. clears via dtc 0015 clears via dtc 0418 dealerweb/hilliard farber & co., inc. hilliard farber . << >> "Trusted by investor.com" status is reserved to those financial advisor firms meeting investor.com's strict requirements, beginning with earning no less than a 4.5 to 5 -star rating based on investor.com's independent Trust algorithm analysis. In the course of that investigation, FINRA found that Park Avenue Securities failed to establish, maintain and enforce a supervisory system and written supervisory procedures reasonably designed to ensure that representatives recommendations concerning multi-share class variable annuities complied with applicable securities law, regulations and rules. Consult With An Attorney Who Recovers Investment Losses Caused By Park Avenue Securities LLC Today! 600 600 600 600 600 600 600 600 Firm can legally elect to accept commissions for their investment advisory services. They are not employees of the broker-dealer and therefore not controlled in the same manner as full-service brokerage firm representatives. As a result, we do not support personal reviews on the site. /ItalicAngle 0 Website. Brokerage Firm Review: Park Avenue Securities LLC, Park Avenue Securities LLC Has Many Different Regulatory Problems, A BRIEF OVERVIEW OF SOME OF THE REGULATORY PROBLEMS PARK AVENUE SECURITIES HAS FACED OVER THE YEARS*, Park Avenue Securities Customer Complaints. There are no guarantees that working with an adviser will yield positive returns. Visit your local Park Avenue Securities LLC at 7 Hanover Square in New York, NY to find a financial representative for everything from life insurance, annuities, and investments to dental and vision insurance and employee benefits. Start now. 26. FINRA also investigated Park Avenue Securities and its variable annuity sales practices. CRD#: 5386619. Securities products/services and advisory services offered through Park Avenue Securities LLC, a registered broker-dealer and registered investment adviser. Since our founding in 1860, our long-term view has helped our customers prepare for whatever life brings whether starting a family, planning for the future or taking care of employees. /Encoding /WinAnsiEncoding /BaseFont /DDACTR+Wingdings You should not wait until its too late to file a claim. 333 556 610 556 610 556 333 610 Should I Hire a Financial Advisor or DIY It? What does this mean and why is this important? 12 0 obj This time, FINRA increased the fine from $9000 to $25,000. This is not an offer to buy or sell any security or interest. 600 600 600 600 600 0 600 600 Fees & Compensation. 600 600 600 600 600 600 600 600 What does this mean and why is this important? As a financial advisory firm, Park Avenue Securities can provide a variety of financial planning services for Americans. 1499 W Palmetto Park Rd #400 Boca Raton, FL 33486. endobj We know how to get you there. 5 0 obj Each month, the investor.com Trust algorithm downloads the latest regulatory data from the SEC IAPD database. 556 556 556 556 556 556 556 556 Here's a breakdown: Park Avenue Securities offers both its own proprietary investment programs and third-party investment programs. In the course of one of FINRAs audits of Park Avenue Securities, it found that the brokerage firm failed to enforce its written supervisory procedures regarding the monitoring of customer trades, and failed to establish and maintain a supervisory system reasonably designed to follow up on the performance of its supervisors with regard to monitoring trade executions, in violation of NASD Rules 3010(a), 3010(b) and FINRA Rule 2010. /LastChar 255 556 556 277 277 583 583 583 556 Find top employees, contact details and business statistics at RocketReach. 556 222 222 500 222 833 556 556 556 556 556 556 556 556 556 548 No. Depending on the IAR you work with, you may also have access to financial planning and consulting services. Frances Aguilera (CRD# 5380754) is an Investment Advisor Representative working at Park Avenue Securities LLC in Miami, FL and has over 23 years of experience in the finance industry. Numerical listings are convenient only if you already know the . 600 600 600 600 600 600 600 600 . endobj Client Types. 2023 Law Offices of Robert Wayne Pearce. Investor.com relies on regulatory data from the SEC to rate and review financial advisor firms. endobj Here's how we make money. Park Avenue Securities is a repeat offender: there are over 8 FINRA reported disciplinary proceedings citing the firm with one form of supervisory lapses or another. << Caswell also serves as the President of Guardians wholly owned subsidiary, Innovative Underwriters (IU), a full-service brokerage general agency committed to helping FRs serve their clients with access to non-proprietary products. As a result, unlike hedge funds, there is no historical performance for any financial advisory firm. /Descent 300 Firm or a related person recommends the purchase of securities where the firm or a related person serves as an underwriter or general or managing partner. Our receipt of such compensation shall not be construed as an endorsement or recommendation by StockBrokers.com, nor shall it bias our reviews, analysis, and opinions. Financial plans and investment portfolios are always unique to the client's personal financial situation. OSJ: 333 N Indian Hills Blvd, Claremont, CA 91711, Ph: 909-399-1100. 600 600 600 600 600 600 600 600 Check the background of Park Avenue Securities and your financial professional on FINRAs BrokerCheck, 2017 Park Avenue Securities LLC. Contact. PARK AVENUE SECURITIES LLC. /Flags 32 According to the firm's Form ADV, advisory fees are "comparable to compensation charged by other full-service firms for the same services.". Talk with Robert Pearce now (800) 732-2889. What does this mean? ", Broker & Financial Advisor Representation, Securities and Exchange Commission (SEC) Defense, CFTC Investigations & Enforcement Proceedings, Florida-OFR Investigations & Enforcement Proceedings, NFA Investigations & Enforcement Proceedings, Mismanagement of Trusts & Investment Accounts, North American Securities Administrators Association (NASAA), Antoinette Lawrence of Park Avenue Securities LLC, Christopher DeYoung of Park Avenue Securities, Michael Mueller formerly with Park Avenue Securities, Catherine Kennedy of Park Avenue Securities LLC, Michael Koehn of Park Avenue Securities LLC, James Breslin formerly with Park Avenue Securities LLC. NEW YORK, February 16, 2021 The Guardian Life Insurance Company of America (Guardian Life) today announced that Marianne Caswell has been named President of Park Avenue Securities, LLC. 777 722 722 722 722 666 666 610 333 333 389 583 277 333 277 277 610 277 277 556 277 889 610 610 Park Avenue Securities offers investment advisory services to both non-high-net-worth and high-net-worth individuals, . >> Park Avenue Securities LLC. 399 548 333 333 333 576 537 333 While the markets may change, Guardians timeless values of doing the right thing, holding itself to the highest standards, and focusing on people, do not. Please provide me a list of the products and a summary of how much your firm earns from them. Investments can be both long-term (held for a year or longer) or short-term (held for less than a year) in nature, depending on market conditions and your needs. Here, advisors use Park Avenue's offerings within their independent practices. /FirstChar 32 277 277 354 556 556 889 666 190 >> 600 600 600 600 600 600 600 600 Particularly, Park Avenue Securities was fined $300,000.00 and censured by FINRA based upon findings that the firm overcharged investors on unit investment trust transactions placed in customers' accounts. /Subtype /TrueType 722 722 777 777 777 777 777 583 Subsequent to that sanction, FINRA conducted another investigation and for the short period it reviewed firms books and records, FINRA found that Park Avenue Securities continued to fail to enforce its written supervisory procedures regarding amendments to FINRAs disclosure reporting forms. During the relevant period, Park Avenue Securities financial advisors purchased, recommended, or held for advisory clients mutual fund share classes that charged 12b-1 fees instead of lower-cost share classes of the same funds for which the clients were eligible. Park Avenue Securities LLC (PAS) is a wholly-owned subsidiary of The Guardian Life Insurance Company of America, which has a rich heritage . 18 0 obj . endobj /Flags 32 /CapHeight 500 /ItalicAngle 0 As it relates to Fundrise, a DTC number allows us to complete fully electronic transfers of IRA funds from your current IRA custodian. Park Avenue Securities is a dually registered broker-dealer and investment advisory firm with billions of dollars in client assets under management (AUM). Average Retirement Savings: How Do You Compare? Try for free at rocketreach.co 333 736 370 556 583 0 736 552 While Park Avenue Securities advises clients across a variety of portfolio sizes, the average client balance is currently $194,581. 333 1000 666 333 1000 0 610 0 (916) 379-0200. /Type /FontDescriptor /CapHeight 500 Written by investor.com. For these supervisory failures, FINRA censured the broker-dealer, and fined it $175,000. Questions to ask This arrangement creates a conflict where the firm and its representatives may be motivated to insure clients with products, including annuities and life insurance, that generate high sales commissions when lower-cost alternatives may exist. If you believe you have a claim against Park Avenue Securities, you should strongly consider hiring an investment fraud lawyer. Firm or an advisory affiliate was previously found to have made false statements or omissions by the SEC or CFTC. /Widths [ Software Offered: Account aggregation software: Albridge Wealth Reporting (Albridge, an affiliate of Pershing) Envestnet The Guardian community of over 9,000 employees and our network of over 2,500 financial representatives is committed to serving with expertise when, where and how our clients need us. 556 556 333 333 583 583 583 610 >> This typically occurs when firms manage mutual funds or hedge funds alongside smaller retail accounts. 600 0 600 600 600 600 600 600 556 556 556 556 556 556 556 556 Ana Sandoval . This website is intended for general public use. /FirstChar 32 Each month, investor.com helps thousands of Americans answer the question, "Can I trust you?". Using this data, SmartAsset calculated the average cost of living for retirees in the largest U.S. cities. << 777 722 722 722 722 666 666 610 endobj /ItalicAngle 0 Copyright 2020 The Guardian Life Insurance Company of America, New York, N.Y. Employees leaving work-sponsored plans or COBRA, Plan for the retirement you want and envision, Confidentiality for domestic violence victims, Agreement to conduct business electronically, Do Not Sell or Share My Personal Information. 10 0 obj * A few of the notable FINRA sanctions for its supervisory failures are below: FINRA investigated Park Avenue Securities and discovered that it disadvantaged certain retirement plan and charitable organization customers who were eligible to purchase Class A shares in certain mutual funds without a front-end sales charge (Eligible Customers). Park Avenue Securities manages $10.6 billion and provides investment advisory services for 54,606 clients (1:32 advisor/client ratio). Questions to ask /Descent 211 10 HUDSON YARDS NEW YORK, NY 10001 UNITED STATES . Questions to ask Line Number: 1349. In this role, she is responsible for the day-to-day operation of all facets of the business, including sales, service, underwriting, technology, and finance. What does this mean? /Widths [ Park Avenue Securities was required but failed to disclose in its Form ADV or otherwise the conflicts of interest related to (a) its receipt of 12b-1 fees, and/or (b) its selection of mutual fund share classes that pay such fees. The week got started on a softer note as investors took some money off the table following a strong showing this month. Rocketreach finds email, phone & social media for 450M+ professionals. The SEC or CFTC has previously found the firm or an advisory affiliate responsible for having an investment-related business have its authorization to do business denied, suspended, or revoked. << %PDF-1.3 600 600 600 600 600 600 600 600 This could be detrimental to a client during down markets. 1 [0 ] Investment advisory representatives (IARs)of the firm manage these programs on behalf of clients. As the leader of the companys wealth management business, she reports to Leyla Lesina, Senior Vice President and Head of Agency Distribution for Guardian Life. As of January 1, 2020 the California Consumer Privacy Act (CCPA) suggests the following link as an extra measure to safeguard your data: Do not sell my personal information. The NSCC member directory is made available here to all interested parties. Prior to her new role, she was Head of Practice Development in Agency Distribution where she provided Guardians Financial Representatives (FR) and their practices with critical strategies and development opportunities to grow their businesses. /BaseFont /Arial 556 556 333 500 277 556 500 722 ] All requests for updated information should also be reported directly to the SEC and/or FINRA.