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Susan Appleby Krimigis

Rockefeller Financial LLC

Darnestown , MD

Florham Park, NJ

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Current Employers
Rockefeller Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2024-03-22
TX RA APPROVED 2024-03-22
  • MD RA
    APPROVED
    Since 2024-03-22
  • TX RA
    APPROVED
    Since 2024-03-22

Branch Locations

Darnestown , MD • United States

180 Park Ave Suite 203, Florham Park, NJ 07932 • 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
Citigroup Global Markets Inc. Bethesda MD 05/2007 01/2024
Rockefeller Financial Llc Bethesda MD 01/2024 07/2026
Rockefeller Financial Llc Darnestown MD 08/2026 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-03-22
S63 Uniform Securities Agent State Law Examination 2023-07-24
S65 Uniform Investment Adviser Law Examination 2002-09-17
  • S66 Uniform Combined State Law Examination
    2024-03-22
  • S63 Uniform Securities Agent State Law Examination
    2023-07-24
  • S65 Uniform Investment Adviser Law Examination
    2002-09-17
Other Names
  • Susan Carol Appleby
  • Susan Carol Appleby
  • Susan Carol Krimigis
  • Susan Appleby Krimigis
  • Susan Appleby Appleby

View on SEC IAPD

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