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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2021-01-21 |
| TX | RA | APPROVED_RES | 2021-01-21 |
Branch Locations
222 West Adams Suite 2450, Chicago, IL 60606 • 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 |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Chicago | IL | 11/2011 | 01/2021 |
| Bank Of America, N.A. | Chicago | IL | 05/2017 | 01/2021 |
| Rockefeller Financial Llc | Chicago | IL | 01/2021 | Present |
NAME OF OBA: MAPLE TOWER CONDOMINIUM ASSOCIATION -- For non-profit -- non-investment related --ADDRESS OF BUSINESS:1035 N. Dearborn Street CHICAGO, ILLINOIS 60610 -- NATURE OF BUSINESS: CORPORATIOn -- POSITION: Board secretary -- START DATE OF RELATIONSHIP: 01/2014 NUMBER OF HOURS DEVOTED: 5 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 1 DUTIES: CONDO BOARD DIRECTOR; AS ONE OF THREE DIRECTORS I WOULD VOTE ON POLICY DECISIONS ON BEHALF OF OWNERS; GENERAL OVERSIGHT AND DUTIES WOULD INCLUDE WORKING WITH THE MGMT CO, STAFF AND OTHER THIRD PARTIES TO ALLOW FOR ASSOCIATION TO OPERATE EFFECTIVELY For profit or not for profit: Non-Profit Organization Name of outside business organization: Jewish United Fund/Federation Investment related: N Address of business: Chicago, Illinois 60606 Nature of business: Charitable Organization, Position, title, association: Advisory Board Member, Start date of relationship: 1/1/2004 Number of hours devoted: 50 hour(s) Annually Number of hours devoted during trading hours: 5 Duties: Various committee positions for dinner events, etc. which do not involve any financial control, guidance or investment review I*52320 For profit or not for profit: Non-Profit Organization Name of outside business organization: Jewish United Fund/Federation Investment related: N Address of business: Chicago, Illinois 60606 Nature of business: Charitable Organization, Position, title, association: Participant, Start date of relationship: 1/1/2004 Number of hours devoted: 50 hour(s) Annually Number of hours devoted during trading hours: 5 Duties: Various committee positions for dinner events, etc. which do not involve any financial control, guidance or investment review
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-06-04 |
| S63 | Uniform Securities Agent State Law Examination | 1996-12-13 |
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