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Regina Rochelle Monroe

Rockefeller Financial LLC

Los Angeles, CA

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Current Employers
Rockefeller Financial Llc

45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2025-09-26
CA RA APPROVED 2022-08-15
  • TX RA
    APPROVED_RES
    Since 2025-09-26
  • CA RA
    APPROVED
    Since 2022-08-15

Branch Locations

1900 Ave Of The Stars Suite 1000, Los Angeles, CA 90067 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Jp Morgan Securities Llc Los Angeles CA 10/2011 11/2016
Jpmorgan Chase Bank Na Los Angeles CA 10/2011 11/2016
Merrill Lynch, Pierce, Fenner & Smith Incorporated El Segundo CA 11/2016 08/2022
Rockefeller Financial Llc Los Angeles CA 08/2022 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-03-10
  • S66 Uniform Combined State Law Examination
    2004-03-10
Other Names
  • Regina Knox
  • Regina R Monroe
  • Regina Rochelle Monroe

View on SEC IAPD

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