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45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-02-21 |
| TX | RA | APPROVED | 2025-02-21 |
Branch Locations
Two Embarcadero Center Suite 2320, San Francisco, CA 94111 • United States
45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-02-21 |
| TX | RA | APPROVED | 2025-02-21 |
Branch Locations
Two Embarcadero Center Suite 2320, San Francisco, CA 94111 • 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 | San Francisco | CA | 08/2011 | 02/2025 |
| Bank Of America, N.A. | San Francisco | CA | 04/2013 | 02/2025 |
| Rockefeller Financial Llc | San Francisco | CA | 02/2025 | Present |
| Rockefeller Capital Management | San Francisco | CA | 02/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-06-22 |
| S65 | Uniform Investment Adviser Law Examination | 2002-09-03 |
| S63 | Uniform Securities Agent State Law Examination | 1997-02-20 |
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