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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 |
| NJ | RA | APPROVED | 2021-12-16 |
Branch Locations
180 Park Ave Suite 203, Florham Park, NJ 07932 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
115 West Century Road, Paramus, NJ 07652 • United States
Allendale, NJ • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2024-08-05 |
| TX | RA | APPROVED_RES | 2024-08-05 |
Branch Locations
115 West Century Road, Paramus, NJ 07652 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mercer Allied Company, L.P., The Ayco Company, L.P. | Parsippany | NJ | 12/2002 | 01/2021 |
| Goldman Sachs & Co. Llc | New York | NY | 01/2021 | 03/2021 |
| Ubs Financial Services Inc. | Weehawken | NJ | 07/2021 | 12/2021 |
| Unemployed | Allendale | NJ | 03/2021 | 07/2021 |
| Rockefeller Financial Llc | Paramus | NJ | 12/2021 | Present |
| Rockefeller & Co | Paramus | NJ | 12/2021 | Present |
| Rockefeller Capital Management | Paramus | NJ | 08/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-07-05 |
| S63 | Uniform Securities Agent State Law Examination | 1996-10-07 |
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