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Current Employers
Rockefeller Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2026-08-10
TX RA APPROVED 2026-08-10
  • CT RA
    APPROVED
    Since 2026-08-10
  • TX RA
    APPROVED
    Since 2026-08-10

Branch Locations

300 First Stamford Place Suite 230, Stamford, CT 06902 • United States

45 Rockefeller Plaza, New York, 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
Morgan Stanley Stamford CT 11/2016 04/2017
Eachwin Capital New York NY 03/2014 11/2016
Morgan Stanley Private Bank, N.A. New York NY 01/2017 08/2026
Morgan Stanley Greenwich CT 04/2017 08/2026
Rockefeller Financial Llc Stamford CT 08/2026 Present
Morgan Stanley Private Bank, N.A New York NY 01/2017 08/2026
  • 11/2016 → 04/2017
    Stamford, CT
  • 03/2014 → 11/2016
    Eachwin Capital
    New York, NY
  • 01/2017 → 08/2026
    Morgan Stanley Private Bank, N.A.
    New York, NY
  • 04/2017 → 08/2026
    Greenwich, CT
  • 08/2026 → Present
    Stamford , CT
  • 01/2017 → 08/2026
    Morgan Stanley Private Bank, N.A
    New York, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-01-13
  • S66 Uniform Combined State Law Examination
    2017-01-13
Other Names
  • Corinne Helena James
  • Corinne H James

View on SEC IAPD

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