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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-03-25 |
| TX | RA | APPROVED | 2024-02-22 |
Branch Locations
Ponte Vedra Beach, FL • United States
320 1St Street North, Unit 703, Jacksonville Beach, FL 32250 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2019-10-22 |
| FL | RA | APPROVED | 2019-10-21 |
| CA | RA | APPROVED | 2019-10-18 |
Branch Locations
Ponte Vedra Beach, FL • United States
1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • United States
320 1St Street North, Unit 703, Jacksonville Beach, FL 32250 • 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 |
|---|---|---|---|---|
| Ubs Financial Services Inc | Los Angeles | CA | 09/2008 | 10/2019 |
| Rockefeller Financial Llc | Ponte Vedra Beach | FL | 10/2019 | 12/2024 |
| Rock & Co Llc | Ponte Vedra Beach | FL | 10/2019 | 12/2024 |
| Rockefeller Financial Llc | Jacksonville Beach | FL | 01/2025 | Present |
| Rockefeller Capital Management | Jacksonville Beach | FL | 01/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-03-06 |
| S63 | Uniform Securities Agent State Law Examination | 2001-10-31 |
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