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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2020-12-18 |
Branch Locations
5355 Town Center Rd Floor 6, Boca Raton, FL 33486 • United States
3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305 • 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 |
|---|---|---|---|---|
| Morgan Stanley Smith Barney Llc | Boca Raton | FL | 10/2015 | 09/2019 |
| Morgan Stanley Private Bank, National Association | New York | NY | 02/2016 | 09/2019 |
| Wells Fargo Advisors | Boca Raton | FL | 09/2019 | 12/2020 |
| Rockefeller Financial Llc | Boca Raton | FL | 12/2020 | Present |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1997-12-24 |
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