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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-03-11 |
| CA | RA | APPROVED | 2026-03-10 |
Branch Locations
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-12-22 |
| CA | RA | APPROVED | 2025-12-19 |
Branch Locations
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 |
|---|---|---|---|---|
| Ubs Financial Services Inc. | New York | NY | 12/2015 | 12/2025 |
| Rockefeller Financial Llc | San Clemente | CA | 12/2025 | Present |
| Rockefeller Capital Management | San Clemente | CA | 03/2026 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-01-13 |
| S63 | Uniform Securities Agent State Law Examination | 1996-12-27 |
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