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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
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley | Charlotte | NC | 03/2018 | 02/2024 |
| Rockefeller Financial Llc | Charlotte | NC | 02/2024 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 02/2020 | Present |
| Morgan Stanley Private Bank, N.A. | New York | NY | 04/2018 | 02/2024 |
| Goldman Sachs | Dallas | TX | 07/2014 | 08/2017 |
| Tatum | Charlotte | NC | 08/2017 | 02/2018 |
| New York Life Insurance Company | Charlotte | NC | 11/2017 | 03/2018 |
| Nylife Securities Llc | Charlotte | NC | 02/2018 | 03/2018 |
1) *536058 - River Run Country Club; Investment related: No; Davidson, North Carolina; Recreation; Board Member (proprietor, partner, officer, director, employee, trustee, agent); 03/2023; During business hours: 0; After business hours: 5; Assist in ongoing duties of the board including future success of the club 2) Teton Pass Capital, LLC, Davidson, NC 28036. Investment Related. Owner,; 02/18/2018; 2 hours a month and 0 hours during trading hours. LLC holds rental properties. 3) Door County Investments, LLC - Davidson, NC 28036. Investment Related. Owner. 03/09/2021. 1 hour a month and 0 hours during trading hours. LLC is a rental property in Fish Creek, WI 4) Kiser Island Investments, LLC - Davidson, NC 28036. Investment Related. Owner. 03/10/2021. 1 hour a month and 0 hours during trading hours. LLC is a rental property in Terrell, NC 5) Jax Hole, LLC - Davidson, NC 28036. Investment Related. Owner. 08/27/2021. 1 hour a month and 0 hours during trading hours. LLC is a rental property in Jackson, WY 6) 136 Lynbrook LLC; Investment related; Charlotte, NC; Property Rental, Part Member of the LLC; 08/14/2024. 0 hours a month and 0 hours during trading hours; Manage property. 7) 625 Dominguez Drive LLC; Investment related; Charlotte, NC; Owner; 05/05/2025; 1 hour per month and 0 hours during trading hours. LLC to own a rental property.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-04-18 |
| S63 | Uniform Securities Agent State Law Examination | 2000-10-09 |
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