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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-03-17 |
| CA | RA | APPROVED | 2019-08-28 |
Branch Locations
1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • United States
Los Angeles, CA • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-08-08 |
| CA | RA | APPROVED | 2024-08-07 |
Branch Locations
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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Beverly Hills | CA | 05/2012 | 08/2019 |
| Rockefeller Financial Llc | Los Angeles | CA | 08/2019 | Present |
| Rockefeller Capital Management | Los Angeles | CA | 08/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-06-12 |
| S63 | Uniform Securities Agent State Law Examination | 2006-08-21 |
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