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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2024-01-09 |
| TX | RA | APPROVED | 2024-01-09 |
Branch Locations
3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305 • United States
5605 Carnegie Blvd., Suite 220, Charlotte, NC 28209 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Charlotte | NC | 10/2014 | 01/2024 |
| Rockefeller Financial Llc | Charlotte | NC | 01/2024 | Present |
1) Quail Hollow Club, 3700 Gleneagles Rd., Charlotte, NC 28211, Not investment related, Golf club, Board of Governors and Treasurer, 02/01/2018, 10 hours per month and zero hours during trading hours, Golf club.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-10-23 |
| S63 | Uniform Securities Agent State Law Examination | 2000-11-08 |
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