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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2024-02-08 |
| TX | RA | APPROVED | 2024-02-08 |
Branch Locations
5605 Carnegie Blvd., Suite 220, Charlotte, NC 28209 • United States
3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305 • 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 |
|---|---|---|---|---|
| Morgan Stanley Smith Barney Llc | Charlotte | NC | 06/2009 | 02/2024 |
| Morgan Stanley Private Bank, N.A. | New York | NY | 01/2015 | 02/2024 |
| Rockefeller Financial Llc | Charlotte | NC | 02/2024 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 07/2020 | Present |
Focus Fund LLC; Investment related; Charlotte, NC; 1/3 Member of LLC; 06/24/2026; 0 hours per month and 0 hours during trading hours; LLC was created for investment opportunity.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-01-11 |
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