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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2025-11-05 |
| TX | RA | APPROVED | 2025-11-05 |
Branch Locations
1838 Sir Tyler Drive Suite 102, Wilmington, NC 28405 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2023-09-29 |
| TX | RA | APPROVED_RES | 2023-09-15 |
Branch Locations
1838 Sir Tyler Drive, Suite 102, Wilmington, NC 28405 • 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 |
|---|---|---|---|---|
| Ubs Financial Services Inc | Wilmington | NC | 01/2009 | 09/2023 |
| Rockefeller Financial Llc | Wilmington | NC | 09/2023 | Present |
| Rockefeller Capital Management | Wilmington | NC | 11/2025 | Present |
1)BRUNSWICK COUNTY PROPERTY MANAGEMENT / WILMINGTON NC 28405 / OTHER / REAL ESTATE / FOR PERSONAL REAL ESTATE DEALS / SOLE PROPRIETORSHIP / I AM SOLE MANAGING MEMBER / START DATE 11/07/2006. 2)NEW HANOVER ESTATE PLANNING ASSOCIATION / 300 N 3RD STREET WILMINGTON NC 28401 / FOUNDATION / EDUCATION / SPEAKERS IN TO TEACH ABOUT ESTATE PLANNING / OTHER GENERAL MEMBER / START DATE 07/20/2011 / 1 HOUR A MONTH 3) NC Coastal Land Trust / United States / 3 pine valley drive Wilmington, NC 28412 / No Charity / https://coastallandtrust.org/ / preserving donated land throughout coastal NC / Member of Board of directors / I am on the finance committee, UBS does not manage any assets for this organization / Start Date 2/29/2020 4) Golf Hospitality Partners 2 / 1004 Ocean Ridge Dr Wilmington, NC 28405/ Personal Real Estate LLC/ 100% investment rental property/ managing member/ START DATE: 8/11/2022. 5 )Golf Hospitality Partners, Inc./ Category -New LLC for private real estate purposes/Principal Business Activity- "A personal LLC to put my personal real estate holdings into for better management I am setting up now upon approval from UBS"/ Role -Proprietor / owner/ Duty- Managing real estate activities including rental/Comp - No 6) Mobile work express/ Category- Company/ Principal Business Activity- My wife is opening business to lease out a van to clients taking trips to basketball games, work functions, weddings, etc, like a limo service. I will be a member in her llc/ Role - Partner/ Duty - I will be 50% owner just due to the llc agreement and joint asset with spouse. I will help run the accounting for this small company./ Comp -No 7) Jedi Properties LLC, Investment Related. 1838 Sir Tyler Drive, Wilmington, NC 28405. Managing member of the LLC. 08/24/2023. 1 hour per month and zero hours during trading hours. Leasing entity for the team's office and to paid rent. 8) 3RockNC LLC, Investment Related. 1838 Sir Tyler Drive, Wilmington, NC 28405. Managing Member of LLC. 11/01/2013. 2 hours per month and 0 hours during trading hours. LLC holds title to commercial property that gets rented out. 9) CamCoastal Properties, LLC, Wilmington, NC. Investment related. Managing Member. 02/20/2006. 1 hour per month and 0 hours during trading hours. LLC is set up to buy and sell and manage real estate investments. LLC will also be used for managing personal investments.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-08-24 |
| S63 | Uniform Securities Agent State Law Examination | 1996-08-16 |
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