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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2026-05-19 |
| MA | RA | APPROVED | 2026-05-19 |
| TX | RA | APPROVED_RES | 2026-05-15 |
Branch Locations
3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305 • United States
4851 Tamiami Trail North Suite 200, Naples, FL 34103 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Naples | FL | 11/2010 | 05/2026 |
| Morgan Stanley Private Bank, N.A | New York | NY | 01/2015 | Present |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 05/2026 |
| Rockefeller Financial Llc | Naples | FL | 05/2026 | Present |
1. House rental; Investment related; Sole Proprietor / Owner / Partner; Jan/2018; During business hours: 0; After business hours: 0; Landlord
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-10-19 |
| S63 | Uniform Securities Agent State Law Examination | 1990-02-06 |
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