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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2025-12-03 |
| TX | RA | APPROVED_RES | 2025-11-03 |
Branch Locations
3835 Pga Boulevard Suite 401, Palm Beach Gardens, FL 33410 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2024-01-03 |
| FL | RA | APPROVED | 2021-08-09 |
| NY | RA | APPROVED | 2021-07-06 |
| TX | RA | APPROVED_RES | 2021-06-12 |
Branch Locations
180 Park Ave Suite 203, Florham Park, NJ 07932 • United States
3835 Pga Boulevard, Suite 401, Palm Beach Gardens, FL 33410 • 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 | Paramus | NJ | 09/2013 | 06/2021 |
| Bank Of America, N.A. | Paramus | NJ | 09/2013 | 06/2021 |
| Rockefeller Financial Llc | Palm Beach | FL | 06/2021 | Present |
| Rockefeller Capital Management | Palm Beach Gardens | FL | 10/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2000-11-08 |
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