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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2024-02-16 |
| TX | RA | APPROVED | 2024-02-16 |
Branch Locations
5605 Carnegie Blvd., Suite 220, Charlotte, NC 28209 • United States
3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Raymond James & Associates, Inc. | Charlotte | NC | 11/2013 | 02/2024 |
| Rockefeller Financial Llc | Charlotte | NC | 02/2024 | 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 |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-10-19 |
| S63 | Uniform Securities Agent State Law Examination | 2001-09-28 |
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