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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2025-08-27 |
| TX | RA | APPROVED | 2019-07-01 |
Branch Locations
300 Crescent Court Suite 1450, Dallas, TX 75201 • United States
Colorado Springs, CO • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2025-08-27 |
| TX | RA | APPROVED | 2025-08-27 |
Branch Locations
300 Crescent Court Suite 1450, Dallas, TX 75201 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691 | Dallas | TX | 08/2008 | 06/2019 |
| Bank Of America, Na | Dallas | TX | 12/2009 | 06/2019 |
| Rockefeller Financial Llc | Dallas | TX | 06/2019 | Present |
| Rock & Co Llc | Dallas | TX | 06/2019 | Present |
JD is also a licensed insurance agent with RCM Insurance Svces LLC, an affiliate of the firm.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-07-17 |
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