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Current Employers
Rockefeller Financial Llc

45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2026-03-17
NY RA APPROVED 2023-08-11
  • TX RA
    APPROVED
    Since 2026-03-17
  • NY RA
    APPROVED
    Since 2023-08-11

Branch Locations

45 Rockefeller Plaza, New York, NY 10111 • United States

Rockefeller Capital Management

45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2024-02-22
TX RA APPROVED 2024-02-22
  • NY RA
    APPROVED
    Since 2024-02-22
  • TX RA
    APPROVED
    Since 2024-02-22

Branch Locations

45 Rockefeller Plaza Floor 5, Ny, NY 10111 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc New York NY 09/2008 08/2023
Rockefeller Financial Llc Ny NY 08/2023 Present
Rockefeller Capital Management Ny NY 02/2024 Present
Previous Registrations
  • 2008-09-18 → 2023-08-22
    New York, NY
    Ithaca, NY
  • 2008-03-11 → 2008-09-24
    Lehman Brothers Inc.
    New York, NY
    New York, NY
    New York, NY
Other Businesses

1) CORNELL UNIVERSITY / EDUCATIONAL INSTITUTION/ DAY HALL ITHACA, NEW YORK 14853 / GUEST LECTURER/ START DATE 8/1/11 2) HM3B LLC, Ithaca NY. Partnership/ Real Estate. Structure to own a vacation home to limit liability. Zero hours a month and zero hours during trading hours. Partner since March 2019. 3) Jumia Technologies AG, Charlottenstrasse 4, Germany/ https://group.jumia.com. Investment related. Member of the supervisory board serving on the Risk and Audit Committee, Corporate Governance and Nominations Committee, and Compensation Committees. Start date February 2019 4) Project Drawdown, non-investment related. 3450 Sacramento Street, #506, San Francisco, CA. Charity entity where she's on the Board of Directors since September 2022. Advisor to the management board to assist in achieving their very important mission to combat climate change in very practical ways. One to two hours a quarter dedicated to this role. Zero hours during trading hours. 5) Yellow Work, Inc./ Category - Charity/ Principal business Activity - Focused on providing education to underserved communities and supporting teachers to ensure every child has a chance. Advisor or advisory group member if advice given may influence an officer/board. Provide advice as requested by management and staff around their core activities and strategies. Non-compensated role. Start date April 2019. 2 hours a quarter dedicated to this role. Zero hours during trading hours. 6) Summit Junto LLC, WeWork c/o Brent Sutherland, 901 Woodland Street, Nashville, TN. Investment related. Summit Junto is a membership organization for the leaders of our time. She's a Member of the Board of Directors in a advisor capacity since September 2022. She brings her global perspective and deep knowledge about sustainable and impact investing as well as philanthropy to the member experience. One to two hours per quarter and zero hours during trading hours dedicated to this role. 7) Thunder & Lightning LLC; Investment related. 918 East Shore Drive, Ithaca, NY; Rental Property; Half owner of the LLC; 09/24/2024. 0 hours a month and 0 hours during trading hours. Co-Managing Member.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-03-10
S63 Uniform Securities Agent State Law Examination 2001-03-01
  • S66 Uniform Combined State Law Examination
    2008-03-10
  • S63 Uniform Securities Agent State Law Examination
    2001-03-01

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