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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2026-03-30 |
| TX | RA | APPROVED_RES | 2026-03-30 |
| NY | RA | APPROVED | 2021-03-22 |
Branch Locations
45 Rockefeller Plaza, New York, NY 10111 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • USA
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | New York | NY | 12/2012 | 04/2019 |
| Rockefeller Financial Llc | New York | NY | 04/2019 | Present |
Syracuse University; Non-investment related; Syracuse, NY; Adjunct Professor; 08/24/2026; 31 hours per month and 0 hours during trading hours; Teaching, develop class syllabus, prepare weekly lectures, grading exams.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-01-08 |
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