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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2025-11-28 |
| TX | RA | APPROVED | 2025-11-28 |
Branch Locations
4 Caufield Place Suite 101, Newtown, PA 18940 • United States
180 Park Ave Suite 203, Florham Park, NJ 07932 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Wyomissing | PA | 04/2006 | 11/2025 |
| Bank Of America, N.A. | Wyomissing | PA | 07/2017 | 11/2025 |
| Rockefeller Financial Llc | Newtown | PA | 11/2025 | Present |
| Rockefeller Capital Management | Newtown | PA | 11/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-06-05 |
| S63 | Uniform Securities Agent State Law Examination | 2006-06-23 |
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