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830 Brickell Plaza Suite 4800, Miami, FL 33131 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2024-01-19 |
Branch Locations
2929 Allen Parkway Suite 3000, Houston, TX 77019 • United States
3 disclosure categories 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 |
|---|---|---|---|---|
| Deutsche Bank Securities Inc | Houston | TX | 08/2011 | 09/2016 |
| Raymond James & Associates, Inc. | Houston | TX | 09/2016 | 05/2020 |
| Rockefeller Financial Llc | Dallas | TX | 05/2020 | 01/2024 |
| Rock & Co Llc | Dallas | TX | 05/2020 | 01/2024 |
| Corient | Houston | TX | 01/2024 | Present |
| Corient Services Llc | Miami | FL | 01/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-05-22 |
| S65 | Uniform Investment Adviser Law Examination | 2002-10-23 |
| S63 | Uniform Securities Agent State Law Examination | 1998-07-20 |
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