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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2024-03-07 |
| TX | RA | APPROVED | 2020-08-21 |
Branch Locations
Scottsdale, AZ • United States
1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2024-03-07 |
| TX | RA | APPROVED | 2024-02-22 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Scottsdale | AZ | 05/2011 | 08/2020 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 08/2020 |
| Rockefeller Financial Llc | Los Angeles | CA | 08/2020 | 07/2026 |
| Morgan Stanley Private Bank, N.A | New York | NY | 01/2015 | 08/2020 |
| Rockefeller Capital Management | Scottsdale | AZ | 02/2024 | 07/2026 |
| Rockefeller Financial Llc | Scottsdale | AZ | 08/2026 | Present |
| Rockefeller Capital Management | Scottsdale | AZ | 08/2026 | Present |
WS Mexico One LLC, 7375 E Stetson Dr., Suite 106, Scottsdale, AZ 85251. Investment Related. Member of the LLC. March 13, 2015. Zero hours per month and zero hours during trading hours. This LLC owns a house; a vacation home not for rent.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-09-18 |
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