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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2022-07-26 |
| TX | RA | APPROVED_RES | 2022-01-24 |
Branch Locations
222 West Adams Suite 2450, Chicago, IL 60606 • 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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Chicago | IL | 09/1989 | 01/2022 |
| Bank Of America, Na | Chicago | IL | 12/2009 | 01/2022 |
| Rockefeller Financial Llc | Chicago | IL | 01/2022 | Present |
TUCCI II, LLC (FOR PROFIT) - NON-INVESTMENT RELATED - located AT; ITASCA, ILLINOIS 60143 - Terri Ucci IS AN OWNER START DATE OF RELATIONSHIP: 4/6/2015 NUMBER OF HOURS DEVOTED: 250 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: ACTIVE LEASING OF A COMMERCIAL BUILDING 2UCCI, LLC - NON-INVESTMENT RELATED - located AT; ITASCA, ILLINOIS 60143 - Terri Ucci is an owner/ President - Start of activity:08/03/2017 NUMBER OF HOURS DEVOTED: 200 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: Residential and Land
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-12-08 |
| S63 | Uniform Securities Agent State Law Examination | 1990-01-16 |
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