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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-01-18 |
Branch Locations
300 Crescent Court Suite 1450, Dallas, TX 75201 • United States
200 W 6Th Street, Suite 2600, Austin, TX 78701 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | Austin | TX | 05/2009 | 01/2023 |
| Rockefeller Financial Llc | Austin | TX | 01/2023 | Present |
1) 1500 Travis Heights Blvd; Investment Related; Austin, TX; Real Estate; Owner; 10/1/2008; 2 hours per month; 0 hours during trading hours; Rental Real Estate. 2) 300 Le Grande Ave, Unit 1; Investment Related; Austin, TX; Real Estate; Owner; 10/15/2024; 2 hours per month; 0 hours during trading hours; Rental Real Estate. 3) 300 Le Grande Ave, Unit 5; Investment Related; Austin, TX; Real Estate; Owner; 9/1/2019; 2 hours per month; 0 hours during trading hours; Rental Real Estate. 4) 300 Le Grande Ave, Unit 6; Investment Related; Austin, TX; Real Estate; Owner; 10/1/2005; 2 hours per month; 0 hours during trading hours; Rental Real Estate. 5) Ballet Austin; Investment Related; Austin, TX; Finance Committee; Board Member; 1/1/2023; 4 hours per month; 0 hours during trading hours; Finance Committee for Ballet Austin.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-11-28 |
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