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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2026-04-29 |
| TX | RA | APPROVED | 2026-04-29 |
Branch Locations
845 Page Mill Road, Floor 2, Palo Alto, CA 94304 • United States
1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Palo Alto | CA | 04/2003 | 03/2026 |
| Rockefeller Financial Llc | Palo Alto | CA | 04/2026 | Present |
1) Kona Alii Anderson LLC, Kailua-Kona Hawaii United States-96740, Partnership, Real Estate, To own persona real estate in Hawaii, Proprietor / owner, LLC is to hold real estate/2nd home in Hawaii. My family revocable trust is 100% beneficial ownership, start date-7/1/2024.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-22 |
| S63 | Uniform Securities Agent State Law Examination | 1999-09-09 |
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